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 Date: 2014-11-04 10:52:49Economics 76th United States Congress Investment Advisers Act Financial adviser Investment Advisor Private equity Hedge fund Financial economics Investment Finance |
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What Public Safety Plans Should Know About SEC Enforcement Of Its Pay To Play Rule Suzanne M. Dugan Luke Bierman![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](https://www.pdfsearch.io/img/978b22a5d4ac5f03ff2ee0835596abc5.jpg "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") | 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 registeDocID: 1ucQI - View Document |
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