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Investment Advisers Act
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#	Item
31	FORM ADV UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS Primary Business Name: PERSONAL CAPITAL ADVISORS Add to Reading List Source URL: www.personalcapital.com Language: English - Date: 2015-10-06 16:39:13 United States securities law U.S. Securities and Exchange Commission Financial Industry Regulatory Authority 76th United States Congress 73rd United States Congress Investment Advisers Act
32	CLIENT MEMORANDUM Willkie Farr & Gallagher Works with SEC Staff to Clarify the Operation of the Investment Advisers Act’s Venture Capital Fund Advisers Exemption October 6, 2015 Add to Reading List Source URL: www.willkie.com Language: English - Date: 2015-10-08 15:52:55
33	TERMS AND CONDITIONS 1.0. TERMS AND CONDITIONS By and Between EverBank Wealth Management, IncEager Road, Suite 700, St. Louis, MO 63144 Add to Reading List Source URL: www.everbank.com Language: English - Date: 2016-01-28 15:12:46 Economy Finance Money Financial services Investment Financial markets Primary dealers EverBank Investment Advisers Act UBS Investment fund Investment management
34	FinCEN Proposes to Regulate Investment Advisers under the Bank Secrecy Act Add to Reading List Source URL: www.pillsburylaw.com Language: English - Date: 2015-08-28 18:42:51
35	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoSeptember 3, 2015 INVESTMENT ADVISERS ACT OF 1940 Release NoSeptember 3, 2015 Add to Reading List Source URL: business.cch.com Language: English - Date: 2015-09-08 14:14:46
36	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. INVESTMENT ADVISERS ACT OF 1940 Release NoSeptember 17, 2015 INVESTMENT COMPANY ACT OF 1940 Release NoSeptember 17, 2015 Add to Reading List Source URL: business.cch.com Language: English - Date: 2015-09-18 11:52:48
37	NEWS RELEASE Monday, July 14, 2015 Institute to Hold 40 Act Panel Discussion: Fiduciary Duty and the Investment Advisers Act of 1940 at 75 Add to Reading List Source URL: www.thefiduciaryinstitute.org Language: English - Date: 2015-07-15 12:58:25
38	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release NoJuly 1, 2015 INVESTMENT COMPANY ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-07-01 10:34:39
39	ADDITIONAL TALKING POINTS – HR 2374 The Department of Labor has been hard at work on a rule that would make sure that when investment advisers and brokers hold themselves out as impartial retirement experts, their pens Add to Reading List Source URL: ourfinancialsecurity.org Language: English - Date: 2013-10-28 16:19:43 Financial economics Financial adviser Investment Securities Exchange Act Fiduciary United States Department of Labor Dodd–Frank Wall Street Reform and Consumer Protection Act Law Finance United States securities law
40	Microsoft Word - UCFA ADV Part 2A Add to Reading List Source URL: www.unitedcp.com Language: English - Date: 2015-04-29 20:49:38 Financial services Financial adviser Investment Advisers Act Hedge fund Investment Advisor Financial planner Collective investment scheme Financial analyst Wrap account Financial economics Investment Finance