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Corrected to conform to the Federal Register version SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 275 Release No. IA-3483; File No. S7[removed]RIN 3235-AJ96 Temporary Rule Regarding Principal Trades With Certain Advisory
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Document Date: 2012-11-07 16:31:18

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City

Washington / DC / Release No. / /

Company

Feltl & Company Inc. / Dealers / Investment Advisers / /

Country

United States / /

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Event

Reorganization / /

IndustryTerm

printing / Internet comment form / Internet Website / /

Organization

Division of Investment Management / Congress / Financial Planning Association / 3235-AJ96 Temporary Rule Regarding Principal Trades With Certain Advisory Clients AGENCY / Court of Appeals / office of Investment Adviser Regulation / office of Compliance Inspections and Examinations / office of Management and Budget / Securities and Exchange Commission / office of Compliance / Inspections and Examinations.17 One / /

Person

Elizabeth M. Murphy / Kathleen L. Casey / Troy A. Paredes / Daniel S. Kahl / Vanessa M. Meeks / Elisse B. Walter / Sarah A. Buescher / Melissa S. Gainor / /

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Position

Governor / Enhancing Investment Adviser / Comptroller General of the United States / Assistant Director / Branch Chief / broker / official business days / Commissioner / investment adviser / Attorney-Adviser / Private / Secretary / Study Enhancing Investment Adviser / adviser / /

PublishedMedium

Public Law / /

URL

http /

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