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Collective investment schemes / Alternative investment management companies / Financial services / Invesco / Nuveen Investments / Security / Closed-end fund / Stock fund / Financial economics / Investment / Funds


All Securities Law, Franchise Law, and Take-Over Law Filings for[removed]through[removed]Securities Law Registration Filings Made with DFI’s Securities Division Firm Name
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Document Date: 2014-10-20 10:35:56

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File Size: 56,98 KB

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City

ELLSWORTH / SAN FRANCISCO / WHEATON / PARSIPPANY / ATLANTA / SERIES WHEATON / LISLE / HOUSTON / LOS ANGELES / WILMINGTON / CHIGACO / SERIES LISLE / MILWAUKEE / NEW YORK / CHICAGO / ENFIELD / /

Company

INVESTMENT FUNDS INVESCO INVESTMENT FUNDS INVESCO SELECT CO FUND / NUVEEN / Registered BMO FUNDS INC / BLACKROCK DYNAMIC HIGH INCOME PORTFOLIO INVESTOR A / Registered INVESCO / COMMON MAN BREWING INC / INVESCO / Pending-Cleared BLACKROCK FUNDS / BLACKROCK DYNAMIC HIGH INCOME PORTFOLIO INVESTOR C / GOLDMAN SACHS / Pending FANTEX INC / /

Event

Dividend Issuance / /

Facility

SMC PORTFOLIO MONUMENT / TR MONUMENT / HIMCO PORTFOLIO MONUMENT / /

Organization

ALTERNATIVE STRATEGIES FUND / DFI’s Securities Division / Securities Division / /

Person

ARGUS MODERN / /

/

Position

ADVISORS CORPORATE TR / ADVISOR / COUNSELOR / ADVISORS / Registered AIM COUNSELOR / Firm Name Location Date Received File Number Status ADVISORS / Registered ADVISORS / Registered AIM COUNSELOR SERIES TR INVESCO COUNSELOR / / /

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