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Registered Investment Advisor
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31	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release NoApril 28, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-28 14:56:21 Registered Investment Advisor Government 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission
32	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoMay 21, 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-21 09:29:51 Financial services 76th United States Congress Registered Investment Advisor Investment Advisers Act Financial adviser Pension Investment Company Act Collective investment scheme Financial economics Investment Finance
33	Royal Bank of Canada Investment Management (USA) Limited Investment Solutions for US Clients London There’s Wealth in Our Approach.™ Add to Reading List Source URL: www.rbcwealthmanagement.com Language: English - Date: 2014-09-24 09:53:00 Finance Collective investment scheme Investment management UBS Registered Investment Advisor Royal Bank of Canada Financial adviser Wealth management Deutsche Bank Financial economics Investment Financial services
34	MuniGUARD Professional for Registered Investment Advisors With MuniGUARD® Professional, Registered Investment Advisors can obtain streamlined, timely access to critical material event information that may impact the ris Add to Reading List Source URL: www.dpcdata.com Language: English - Date: 2013-06-24 21:29:35 Investment Government debt Local government in the United States Municipal bond Bond Probability of default Financial adviser CUSIP Registered Investment Advisor Financial economics Economics Finance
35	Broker-Dealer & Investment Adviser Counseling Gibson Dunn attorneys advise clients on the full spectrum of regulatory, business, and compliance issues confronting the securities industry. Our clients include global inve Add to Reading List Source URL: www.gibsondunn.com Language: English - Date: 2014-04-21 11:25:21 United States securities law 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Late-2000s financial crisis Presidency of Barack Obama Registered Investment Advisor Financial Industry Regulatory Authority Financial adviser Self-regulatory organization Financial economics Finance Business
36	Microsoft Word - Form ADV 2A & 2B - Balanced Rock Investment AdvisorsFINAL rev Add to Reading List Source URL: balancedrockinvestmentadvisors.com Language: English - Date: 2014-05-03 20:50:14 Finance Investment Policy Statement Financial adviser Investment Advisers Act Registered Investment Advisor Hedge fund Wealth management Collective investment scheme Investment management Financial economics Financial services Investment
37	No-action letter: AngelList LLC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-03-29 14:37:38 Angel investor Venture capital Financial adviser Collective investment scheme Registered Investment Advisor Accredited investor Investment Policy Statement Hedge fund Financial economics Investment Finance
38	Microsoft Word - Angel Fund Certification02-2015 Add to Reading List Source URL: www.business.nd.gov Language: English - Date: 2015-02-25 10:30:11 Accredited investor Angel investor Investor Regulation D Registered Investment Advisor Security Institutional investor Collective investment scheme Financial economics Investment Finance
39	Microsoft Word - KAFA ADV Part 2A 03_2015 Draft.docx Add to Reading List Source URL: www.kaynefunds.com Language: English - Date: 2015-04-01 09:40:24 Financial services Funds Master limited partnership Collective investment scheme Separate account Management fee Investment Advisers Act Financial adviser Registered Investment Advisor Financial economics Investment Finance
40	Proposed Rule: Amendments to Form ADV and Investment Advisers Act Rules Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-05-20 16:57:36 Finance Financial regulation Business Investment Advisers Act United States securities law Registered Investment Advisor Financial adviser U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Investment 76th United States Congress

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