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Schwab Institutional | OctoberOngoing Compliance Updates for Investment Advisers Compliance Review SEC Proposes Investment Adviser Registration
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Document Date: 2008-12-23 10:03:00

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File Size: 68,52 KB

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City

San Francisco / /

Company

Shartsis / Friese & Ginsburg LLP / Charles Schwab & Co. Inc. / /

Country

United States / /

Currency

USD / /

/

IndustryTerm

advisory services / use client brokerage / state law / performance advertising policies / /

Organization

Commodity Futures Trading Commission / Private Fund / U.S. Securities and Exchange Commission / /

Person

Alan Greenspan / James J. Frolik / Douglas L. Hammer / /

/

Position

commodity trading adviser / Proposes Investment Adviser / manager / investment adviser / qualified custodian / legal counsel / adviser / manager of a fund / /

URL

www.sec.gov/rules/proposed.shtml / www.sfglaw.com / /

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