'Investment company act' diaporamas de présentation

Mutual Fund Regulation and Issues

Mutual Fund Regulation and Issues. Chapter 2. HISTORICAL PERSPECTIVE.

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OVERVIEW OF REGISTERED FUNDS AND KEY MATTERS TO CONSIDER WHEN ADVISING REGISTERED FUNDS

OVERVIEW OF REGISTERED FUNDS AND KEY MATTERS TO CONSIDER WHEN ADVISING REGISTERED FUNDS. Seward & Kissel LLP January 9, 2013. Discussion Topics. Overview of Investment Companies Types of SEC-Registered Funds

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III. INSTITUTIONAL TRADING

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U.S. Department of Labor Office of Labor-Management Standards (OLMS)

Filing Revised Form LM-30 An Overview of Union Officer and Employee Reporting. U.S. Department of Labor Office of Labor-Management Standards (OLMS). Introduction.

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Mutual Fund Basics

Mutual Fund Basics. June 2007 Todd Cipperman, Esq. Cipperman & Company. The Players. Sponsor : organizes and promotes the Fund; arranges service providers Investment Advisor/Manager : manage the portfolio and invest the assets Investment Managers may retain Sub-Advisors

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SEC Reporting

Baker / Lembke / King. 14. SEC Reporting. Electronic Presentation by Douglas Cloud Pepperdine University. EDGAR.

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SEC Reporting

Baker / Lembke / King. 14. SEC Reporting. Electronic Presentation by Douglas Cloud Pepperdine University. EDGAR.

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Access Capital Strategies Community Investment Fund, Inc.

Access Capital Strategies Community Investment Fund, Inc. A Vehicle for Community Investments Managed by Access Capital Strategies & Merrill Lynch Investment Managers.

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WHERE COMPLIANCE AND THE EB-5 PROGRAM INTERSECT

WHERE COMPLIANCE AND THE EB-5 PROGRAM INTERSECT. Steven Anapoell Steven Felsenstein Genna Garver Dawn M. Lurie Greenberg Traurig,LLP. Where Immigration and Securities Intersect. Synergies between professional advisors EB-5 offering from formation to market and post-offering

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The Effect of Security Market Regulations on Stock Returns

The Effect of Security Market Regulations on Stock Returns. Gary Santoni , PhD Ball State University. Recent Recessions. U.S. Economy in 2009. Securities Market Regulatory Acts. Securities Act of 1933 Securities Exchange Act of 1934 Public Utility Holding Company Act of 1935

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ELECTION AND QUALIFICATIONS OF DIRECTORS

ELECTION AND QUALIFICATIONS OF DIRECTORS. Robert D. Strahota, Assistant Director * SEC Office of International Affairs Prepared for the panel on Improving Corporate Governance in Emerging Markets International Institute for Securities Market Development April 23, 2004

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Corporate Overview

Corporate Overview.

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VIKING ENGAGES LEADING OIL & GAS OPERATOR IN EASTERN KANSAS

NEW YORK, NY -- (Marketwired) -- 10/25/16 -- Viking Investments Group, Inc. ("Viking") (OTCQB: VKIN) is pleased to announce it has engaged Kansas Resource Development Company ("KRDC") to operate certain of its oil and gas-related leases in Eastern Kansas.

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SEC Reporting

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