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Investment Advisers Act
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11	Legal & Compliance, LLC A Corporate, Securities and Going Public Law Firm Also Visit – LawCast.com The Securities Law Network Add to Reading List Source URL: securities-law-blog.com Language: English - Date: 2016-08-02 10:28:46 Finance Economy Money U.S. Securities and Exchange Commission United States securities law 76th United States Congress 73rd United States Congress Stock market Securities Act Investment Company Act Accredited investor Investment Advisers Act
12	Businessman raising his arm while his colleague gestures towards Add to Reading List Source URL: www.investmentadviser.org Language: English - Date: 2014-07-07 13:57:37 Finance Money Economy Investment Adviser Association Investment Advisers Act Regulatory compliance Registered Investment Adviser Financial adviser Hedge fund Chief compliance officer
13	Conning-Goodwin Capital Core Plus Bond CIF PRDOCX;3) Add to Reading List Source URL: octagoncredit.com Language: English - Date: 2015-11-05 07:37:08 Conning & Company Financial services Investment Investment management ING Group Asset liability management Investment Advisers Act Citigroup
14	22nd December 2015 FAMR Secretariat Financial Conduct Authority 25 The North Colonnade Canary Wharf London Add to Reading List Source URL: uksif.org Language: English - Date: 2016-01-05 07:19:13 Financial services Citizens Advice Independent Financial Adviser Financial adviser Financial Conduct Authority Mortgage broker Financial literacy Investment fund Advice Investment Advisers Act Registered Investment Adviser
15	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-28 09:59:16 Commodity markets Financial markets 76th United States Congress Institutional investors Exchange-traded fund Futures contract Commodity pool operator U.S. Securities and Exchange Commission Broker-dealer Financial adviser Investment Advisers Act Commodity Futures Trading Commission
16	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-01 13:19:30 76th United States Congress 73rd United States Congress U.S. Securities and Exchange Commission Financial markets Futures contract Broker-dealer Investment Advisers Act Derivative Securities Exchange Act Financial adviser Security Securities Act
17	D a v i s G r a h a m & S t u b b s L L P Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2013-08-15 17:48:13 76th United States Congress Investment Advisers Act Financial services Financial adviser Adviser U.S. Securities and Exchange Commission Securities Act Family office Securities Fraud Deterrence and Investor Restitution Act Qualified institutional buyer
18	June 29, 2016 Via Electronic Submission (www.sec.gov) Mr. Brent J. Fields, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC Add to Reading List Source URL: www.investmentadviser.org Language: English - Date: 2016-06-30 13:00:16 Investment Financial adviser Registered Investment Adviser Investment Advisers Act Accredited investor Qualified institutional buyer Hedge fund U.S. Securities and Exchange Commission Regulation D Investor Institutional investor Private equity
19	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-22 16:32:41 Financial markets 76th United States Congress Commodity markets Institutional investors Funds Exchange-traded fund U.S. Securities and Exchange Commission Broker-dealer Investment Advisers Act Futures contract Financial adviser Securities Exchange Act
20	Cheetah™ Securities Regulation Daily Wrap Up, TOP STORY—SEC issues incentivebased compensation proposal, adds economic analysis, (May 6, 2016) Securities Regulation Daily Wrap Up Click to open document in a browser Add to Reading List Source URL: business.cch.com Language: English - Date: 2016-07-22 20:47:20 U.S. Securities and Exchange Commission United States securities law Chris Dodd Consumer Financial Protection Bureau DoddFrank Wall Street Reform and Consumer Protection Act Systemic risk Broker-dealer Investment Advisers Act Securities Exchange Act Rulemaking Financial adviser Regulation D

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