Back to Results
First PageMeta Content
Registered Investment Advisor / Investment / Investor Protection and Securities Reform Act / Investment Advisers Act / Investment Advisor / Financial adviser / Securities regulation in the United States / Securities Exchange Act / Broker-dealer / Financial economics / Finance / Business


124 STAT[removed]PUBLIC LAW 111–203—JULY 21, [removed]improving regulators’ ability to monitor the potential effects of designated clearing entity risk management on the stability of the financial system of the Unit
Add to Reading List

Document Date: 2010-10-18 15:49:57

Open Document

File Size: 363,07 KB

Share Result on Facebook

Country

United States / /

IndustryTerm

securities products / investment products / retail customer / retail customers / retail customer relationships / travel expenses / designated clearing entity risk management / retail investors / /

MusicGroup

the Commission / ACCESS / /

Organization

Congress / VICE / House of Representatives / LIMITATION ON SERVICE / STAFF OF OFFICE / OFFICE OF THE INVESTOR / Committee on Financial Services / REVIEW BY COMMISSION / U.S. Securities and Exchange Commission / Committee on Banking / Housing / and Urban Affairs / Investor Advisory Committee / Senate / /

Position

Advocate / vice chairman / CHAIRMAN / broker and dealer / broker / ASSISTANT SECRETARY / independent counsel / research staff / investment advisor / Executive / investment adviser / broker / dealer / dealer / or investment adviser providing the advice / representative / registered representative / dealer / SECRETARY / head / adviser / legal representative / dealer / or investment adviser / /

PublishedMedium

PUBLIC LAW / /

SocialTag