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Investment Advisers Act
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1	APPENDIX B [Form ADV, Part 3:] 1 Instructions to Form CRS General Instructions Under rule 17a-14 under the Securities Exchange Act of 1934 and ruleunder the Investment Advisers Act of 1940, broker-dealers registe Add to Reading List Source URL: www.sec.gov Language: English - Date: 2018-04-18 18:33:24
2	LifeWatch Medical technology Established and growing digital health player Add to Reading List Source URL: www.equitystory.com Language: English - Date: 2015-11-25 03:20:11 Economy Finance Money Thomas Edison Edison Investment Advisers Act General Electric Investment banking Securities and Exchange Commission Investment management
3	Conning-Goodwin Capital Core Plus Bond CIF PRDOCX;3) Add to Reading List Source URL: www.octagoncredit.com Language: English - Date: 2015-11-05 07:37:08 Economy Finance Money Conning & Company Investment management Asset liability management Investment Advisers Act Citigroup ING Group
4	AAG ADV Brochure -- Plan Level Add to Reading List Source URL: www.advisedassetsgroup.com Language: English - Date: 2016-04-14 17:02:04 Economy Money Finance Investment Financial services Institutional investors Actuarial science Investment policy statement Investment management Discretionary Investment Management Investment Advisers Act Investment fund
5	The Investment Adviser “Switch” A Report on the 2012 Transition of Mid-Sized Investment Advisers from Federal Registration to Missouri State Regulation August 2012 Missouri Securities Division Add to Reading List Source URL: www.sos.mo.gov Language: English - Date: 2015-06-10 16:04:14 Economy Finance Money Registered Investment Adviser Financial adviser Financial services U.S. Securities and Exchange Commission Securities regulation in the United States Securities Act Adviser DoddFrank Wall Street Reform and Consumer Protection Act Broker-dealer
6	2013 IA Switch Audit Report A Report Summarizing the Missouri Securities Division’s 2013 IA Switch Firm Audit Findings and Associated Suggested Best Practices December 2013 Missouri Securities Division Add to Reading List Source URL: www.sos.mo.gov Language: English - Date: 2015-06-09 15:07:56 Economy Finance Money 76th United States Congress Investment Advisers Act Financial services Financial adviser U.S. Securities and Exchange Commission DoddFrank Wall Street Reform and Consumer Protection Act Securities and Exchange Commission Broker-dealer Securities Act
7	For professional use only Outsourcing Trustee investments Opportunities for Advisers Add to Reading List Source URL: www.lgtvestra.com Language: English - Date: 2016-06-01 13:37:27 Law Equity Economy Finance Common law English trusts law Trustee Act Investment policy statement Trust law Trustee Hague Trust Convention Financial adviser
8	State Board of Medical Examiners Laws Add to Reading List Source URL: www.njconsumeraffairs.gov Language: English - Date: 2016-07-21 12:21:27 Economy Finance Money 73rd United States Congress U.S. Securities and Exchange Commission 76th United States Congress Financial regulation Securities Act Investment Advisers Act Securities Exchange Act Security Securities regulation in the United States
9	Sound Mind Financial Planning, LLC www.soundmindfp.com Code of Ethics Pursuant to: Add to Reading List Source URL: www.soundmindfp.com Language: English - Date: 2014-09-24 16:01:35 Economy Stock market Finance Financial crimes Corruption 73rd United States Congress U.S. Securities and Exchange Commission Insider trading Securities Exchange Act Security Investment Advisers Act Bank
10	Item 1 - Cover Page Trisuli Financial Advising Registered Investment Advisor Trisuli Financial Advising Add to Reading List Source URL: www.trisulifinancialadvising.com Language: English - Date: 2016-04-29 19:48:16 Finance Money Economy Institutional investors Registered Investment Adviser Financial adviser Hedge fund Investment Financial planners Investment Advisers Act

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