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Financial regulation / H.D. Vest / Financial economics / Stock market / Securities Act / H.D. / Investment / Securities Exchange Act / Regulation D / United States Securities and Exchange Commission / United States securities law / 73rd United States Congress


UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C.
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Document Date: 2015-03-04 14:52:20

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File Size: 704,97 KB

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City

Washington / D.C. / Dallas / /

Company

D. Vest Investment Securities Inc. / DIVISION OF CORPORATION / Jefferies LLC S.E.C. / H.D. Vest / K&L Gates LLP / H.D. Vest Investment Securities Inc. / /

Currency

USD / /

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Event

M&A / Funding / /

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IndustryTerm

customer brokerage / bank accounts / reserve bank account / electronic communications / requisite reserve bank account deposit / customer communications / /

Organization

office of Small Business Policy Division / office of Small Business Policy Division of Corporation Finance K&L GATES K&LGATESLLP / UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON / D.C. / Small Business Policy Division of Corporation Finance K&L GATES K&LGATESLLP / U.S. Securities and Exchange Commission / Securities and Exchange Commission / /

Person

Steve Korotash / Lewis J. Hunter / Stephen J. Korotash / Sebastian Gomez Abero / /

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Position

solicitor / Independent Compliance Consultant / compliance consultant / representative / Hunter matter / consultant / underwriter / /

ProvinceOrState

Texas / /

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