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March 2, 2015 Via Electronic Filing: Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, NE
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Document Date: 2015-03-03 11:47:48

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File Size: 135,45 KB

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City

Washington / DC / /

Continent

Asia / Europe / /

IndustryTerm

communications organization / communications negative consent letters / bank-sponsored platforms / /

Organization

Funds Association / Managed Funds Association / Congress / U.S. Securities and Exchange Commission / FINRA / /

Person

Stuart J. Kaswell Stuart / Stuart J. Kaswell / Benjamin Allensworth / /

/

Position

Executive Vice-President and Managing Director / manager / Brent J. Fields Secretary / Managing Director / General Counsel / /

Region

North America / South America / /

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