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Registered Investment Advisor
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91	NEP Risk Alert Sent to Commission -- STILL NON-PUBLIC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-20 12:23:57 Financial services Funds Collective investment schemes Mutual fund Investment Company Act Financial adviser Net asset value Investment Advisers Act Registered Investment Advisor Financial economics Investment Finance
92	PDF Document Add to Reading List Source URL: wealth.clearview.com.au Language: English - Date: 2014-06-30 20:01:33 Collective investment scheme Financial adviser Exchange-traded fund Investment management Alternative investment Rate of return Wrap account Private equity Registered Investment Advisor Financial economics Investment Finance
93	NAPA_401K_Summit2015_MailerCover Add to Reading List Source URL: napasummit.org Language: English - Date: 2015-03-17 09:51:47 Registered Investment Advisor Napa California Fiduciary Hyatt Geography of California Business Economics Finance Financial adviser Investment
94	P2P PIONEERS CREATE FIRST-EVER FULLY INTEGRATED ASSET MANAGEMENT PLATFORM FOR MARKETPLACE INVESTING Investment and analytics platform serves independent Investment Advisors and their clients April 13, 2015 (Denver, CO) Add to Reading List Source URL: s3-us-west-2.amazonaws.com Language: English - Date: 2015-04-12 15:06:09 Financial services Person-to-person lending Prosper Marketplace Lending Club Financial adviser Hedge fund Institutional investor Registered Investment Advisor Financial economics Credit Investment
95	SECURITIES AND EXCHANGE COMMISSION (Release No; File NoOctober 17, 2014 Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocatio Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-20 08:01:48 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Registered Investment Advisor Selling away United States securities law Financial economics Financial system
96	CROSS-GENERATIONAL FINANCIAL PLANNING: Connecting with your Millennial Children © 2014 Carson Institutional Alliance Add to Reading List Source URL: static.contentres.com Language: English - Date: 2014-06-20 11:40:29 Public economics Generation Y Generation Demographics of the United States Financial adviser Baby boomer Registered Investment Advisor Wealth Demographics Economics Demography
97	TIAA-CREF Affluent Investor Barometer Executive Summary April 29, 2015 1 Add to Reading List Source URL: www.tiaa-cref.org Language: English - Date: 2015-04-29 09:50:07 TIAA-CREF Financial adviser Financial Advisor Registered Investment Advisor Collective investment scheme Vesting Asset allocation Annuity Financial economics Investment Andrew Carnegie
98	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-BYXApril 16, 2015 Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-16 13:53:08 Financial system Financial Industry Regulatory Authority Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Selling away Registered Investment Advisor United States securities law Business Financial regulation
99	Investment Counsel Association of America, Inc Add to Reading List Source URL: www.investmentadviser.org Language: English - Date: 2014-07-09 14:39:20 Financial economics Financial adviser Business Chartered Financial Analyst U.S. Securities and Exchange Commission Economics Investment Advisers Act Registered Investment Advisor Professional certification in finance Investment Investment Adviser Association
100	Microsoft Word - ClientAlert_DOLProposesNewFiduciaryRuleWithBroadImplications.docx Add to Reading List Source URL: www.chadbourne.com Language: English - Date: 2015-04-16 14:46:55 Equity Fiduciary Registered Investment Advisor Mergers and acquisitions Financial adviser Fairness opinion Conflict of interest Personal fiduciary services Investment Policy Statement Law Finance Common law

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