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Subject: "Investment advisors"
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United States. Securities and Exchange Commission

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Online Results (15)
1.
Investment advisers what you need to know before choosing one
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009]
Online
http://purl.access.gpo.gov/GPO/LPS112346
Location
Yale Internet Resource >> None
Format
Books / Online
2.
"Senior" specialists and advisors what you should know about professional designations
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009]
Online
http://purl.access.gpo.gov/GPO/LPS112550
Location
Yale Internet Resource >> None
Format
Books / Online
3.
Late payment of interest on bonds
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2007]
Online
http://purl.access.gpo.gov/GPO/LPS112359
Location
Yale Internet Resource >> None
Format
Books / Online
4.
Investment adviser directory
Published
[Washington] Securities and Exchange Commission.
Location
LSF-Use in SML, Manuscripts and Archives only (Non-Circ) >> HG4907 I45 (LC)
Library Shelving Facility (LSF) >> SE 1.2:In 8/17/
Format
Journals & Newspapers
5.
Closed-end funds
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2007]
Online
http://purl.access.gpo.gov/GPO/LPS111872
Location
Yale Internet Resource >> None
Format
Books / Online
6.
Analyzing analyst recommendations
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2008]
Online
http://purl.access.gpo.gov/GPO/LPS111658
Location
Yale Internet Resource >> None
Format
Books / Online
7.
Investment choices
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2008]
Online
http://purl.access.gpo.gov/GPO/LPS113910
Location
Yale Internet Resource >> None
Format
Books / Online
8.
Mutual fund classes
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2008]
Online
http://purl.access.gpo.gov/GPO/LPS112404
Location
Yale Internet Resource >> None
Format
Books / Online
9.
Bond funds and income funds
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2007]
Online
http://purl.access.gpo.gov/GPO/LPS111722
Location
Yale Internet Resource >> None
Format
Books / Online
10.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : Securities and Exchange Commission, [1994]
Location
Library Shelving Facility (LSF) >> SE 1.2:R 26/2/994
Format
Books
11.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : Securities and Exchange Commission, [1994]
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
12.
Report on the public policy implications of investment company growth : report of the Committee on Interstate and Foreign Commerce pursuant to Section 136 of the Legislative reorganization act of 1946, Public law 601, 79th Congress, and House resolution 35, 89th Congress
Author
United States. Securities and Exchange Commission
Published
Washington : G.P.O., 1966.
Location
Law Library >> KF1070 .U55 1966
Format
Books
13.
Investment advisers act of 1940 and general rules and regulations thereunder [as in effect June 1, 1965]
Author
United States
Published
Washington : Securities and Exchange Commission; for sale by the Superintendent of Documents, U.S. Govt. Print. Off, [1965]
Location
Library Shelving Facility (LSF) >> S 26 In73 1965
Format
Books
14.
Investment Advisers Act of 1940, release
Author
United States. Securities and Exchange Commission
Published
Washington : The Commission, [1940-]
Location
Law Library >> KF1436.A2 I5
Format
Journals & Newspapers
15.
All about auto-trading
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2005]
Online
http://purl.access.gpo.gov/GPO/LPS111651
Location
Yale Internet Resource >> None
Format
Books / Online
16.
Protect your money check out brokers and investment advisers
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2008]
Online
http://purl.access.gpo.gov/GPO/LPS112488
Location
Yale Internet Resource >> None
Format
Books / Online
17.
Ultra-short bond funds know where you're parking your money
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009]
Online
http://purl.access.gpo.gov/GPO/LPS113536
Location
Yale Internet Resource >> None
Format
Books / Online
18.
Broker-dealer registration where to file
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2007]
Online
http://purl.access.gpo.gov/GPO/LPS111840
Location
Yale Internet Resource >> None
Format
Books / Online
19.
Commodity Futures Trading Commission
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2005]
Online
http://purl.access.gpo.gov/GPO/LPS113668
Location
Yale Internet Resource >> None
Format
Books / Online
20.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : U.S. Securities and Exchange Commission, [1991]
Location
SML, Microform (Non-Circulating) >> SE 1.2:R 26/2
Format
Books / Microforms
21.
Protection of clients' securities and funds in custody of investment advisers : report on embezzlement of clients' securities and funds by two investment advisers and recommendations for amending the Investment advisers act of 1940
Author
United States. Securities and Exchange Commission
Published
Philadelphia, PA : Securities and Exchange Commission, 1945.
Location
Law Library >> HG4621 .U55 1945
Format
Books
22.
Investment company act of 1940 as in effect June 4, 1977
Author
United States. Laws, statutes, etc
Published
Washington : Securities and Exchange Commission : for sale by the Supt. of Docs., U.S. Govt. Print. Off., 1977.
Location
Unavailable--Try BorrowDirect or Interlibrary Loan >> SE 1.5:In 8/977
Format
Books
23.
Investment Company Act of 1940 as in effect November 1, 1974
Author
United States
Published
Washington : U.S. Securities and Exchange Commission : For sale by the Supt. of Docs., U.S. Govt. Print. Off., 1975.
Location
Library Shelving Facility (LSF) >> SE 1.5:In 8/974
Format
Books
24.
Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds
Author
United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations
Published
[Washington, D.C.?] : The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, [1998]
Location
Library Shelving Facility (LSF) >> SE 1.2:B 78/[998]
Format
Books
25.
Selecting and monitoring pension consultants tips for plan fiduciaries
Published
[Washington, D.C.] : U.S. Securities and Exchange Commission, [2005]
Online
http://purl.access.gpo.gov/GPO/LPS112544
Location
Yale Internet Resource >> None
Format
Books / Online