| Document Date: 2008-12-23 10:03:00
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City San Francisco / / Company Schwab Institutional / Shartsis / Friese & Ginsburg / LLP / Charles Schwab & Co. Inc. / Investment Advisors Compliance Review / / Country United States / / Currency USD / / / IndustryTerm advisory services / performance advertising policies / registration applications / client brokerage / / Organization Resource Center / Shartsis / Friese & Ginsburg LLP Introduction Commodity Futures Trading Commission / Private Fund / U.S. Securities and Exchange Commission / / Person Alan Greenspan / James J. Frolik / COMPLIANCE REVIEW / Douglas L. Hammer / / / Position ment adviser / investment adviser registration trading adviser / unfit persons adviser / non-U.S. adviser / hedge adviser / An investment adviser / exception investment adviser / counsel / advisors / manager / investment adviser / fund manager / registered investment adviser / consultant / commodity investment adviser / adviser / manager of a fund / / URL www.sfglaw.com / www.sec.gov/rules/final.shtml / www.schwabinstitutional.com / /
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Schwab Institutional | Volume 14, Issue 3 | MayOngoing Compliance Updates for Investment Advisors Compliance Review IN THIS ISSUE