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Investment Advisers Act
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#	Item
61	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release NoJune 12, 2014 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-06-12 14:12:38
62	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release NoOctober 8, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-10-08 13:51:54
63	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoApril 28, 2015 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov. - Date: 2015-04-28 16:32:07
64	Microsoft Worddoc Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2009-02-11 17:20:14 Finance United States securities law United States Securities and Exchange Commission 76th United States Congress Securities regulation in the United States Form D Form N-1A EDGAR Investment Advisers Act Financial economics SEC filings Investment
65	INITIAL DECISION RELEASE NO. 786 ADMINISTRATIVE PROCEEDING FILE NOUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-04 17:00:55 Securities Exchange Act U.S. Securities and Exchange Commission Form 10-K Securities regulation in the United States Securities and Exchange Commission Form 10-Q Securities and Exchange Commission Finance Investment Advisers Act Form 20-F SEC filings Government Financial regulation
66	UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release NoMarch 30, 2012 ____________________________________ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-04-03 07:57:13 Investment Advisers Act U.S. Securities and Exchange Commission Investment Company Act Economy of the United States Financial system 76th United States Congress Ares Management Financial regulation
67	Division of Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-01-09 16:41:46 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer U.S. Securities and Exchange Commission Investment Advisers Act Short Net capital rule Financial economics Financial markets Finance
68	Division of Trading and Markets No-Action Letter: SIFMA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-11 10:59:43 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Broker Financial economics Finance Financial markets
69	UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No. IA-3997; January 14, 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-14 16:26:56 Business Economics 76th United States Congress Investment Advisers Act Financial adviser
70	Paradigm Compliance Manual - A Add to Reading List Source URL: www.inshoreifa.com Language: English Financial services Service industries Business Financial institutions Institutional investors Financial adviser Independent Financial Adviser Insurance Investment Advisers Act Financial economics Investment Finance

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