Search Results: Investment advisors United States - Government and Heritage Library

Search Results: Investment advisors United States - Government and Heritage Library

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Search Results Results 1 - 10 of 24 (page 1 of 3)

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1

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Review of the Commission's processes for selecting investment advisers and Investment companies for examination

Publisher:

[Washington, D.C.] : U.S. Securities and Exchange Commission, [2009]

Edition:

Public redacted version.

Phys. Desc.:

1 online resource (57 pages).

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2

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E-book

E-book

Selecting and monitoring pension consultants : tips for plan fiduciaries

Series:

Fact sheet (United States. Department of Labor. Employee Benefits Security Administration)

Publisher:

[Washington, D.C.] : U.S. Dept. of Labor, Employee Benefits Security Administration, [2011?]

Phys. Desc.:

1 online resource.

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3

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Examining the market power and impact of proxy advisory firms : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, June 5, 2013

United States Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises,

Publisher:

Washington : U.S. Government Printing Office, 2013.

Phys. Desc.:

1 online resource (v, 433 pages) : illustrations

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4

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The seminar pitch a real curve ball

Series:

FTC facts for consumers.

Publisher:

[Washington, D.C.] : Federal Trade Commission, Bureau of Consumer Protection, Office of Consumer and Business Education, [1998]

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5

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Retirement security : the importance of an independent investment adviser : hearing before the Subcommittee on Health, Employment, Labor, and Pensions, Committee on Education and Labor, U.S. House of Representatives, One Hundred Eleventh Congress, first session, hearing held in Washington, DC, March 24, 2009

United States Congress. House. Committee on Education and Labor. Subcommittee on Health, Employment, Labor, and Pensions.

Publisher:

Washington : U.S. Government Printing Office, 2009.

Phys. Desc.:

1 online resource (iii, 45 pages)

Digital Content:

Click for online content.- Text version:

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Click for online content.- PDF version:

Digital Content:

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6

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Family office regulation in light of the Archegos fallout

Su, Eva

Series:

In focus (Library of Congress. Congressional Research Service) ; IF11825.

Publisher:

[Washington, D.C.] : Congressional Research Service, 2023-

Edition:

[Library of Congress public edition].

Phys. Desc.:

1 online resource.

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7

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Fair and equitable tax policy for America's working families hearing before the Committee on Ways and Means, U.S. House of Representatives, One Hundred Tenth Congress, first session, September 6, 2007

United States Congress. House. Committee on Ways and Means.

Publisher:

Washington : U.S. G.P.O., 2008.

Phys. Desc.:

iii, 307 pages : digital, PDF file

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8

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Perspectives on hedge fund registration hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, May 7, 2009

United States Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises.

Publisher:

Washington : U.S. G.P.O., 2009.

Phys. Desc.:

1 online resource (v, 162 pages) : illustrations.

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9

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Senior designations for financial advisers : reducing consumer confusion and risks

Publisher:

[Washington, D.C.] : Consumer Financial Protection Bureau, [2013]

Phys. Desc.:

1 online resource (63 pages)

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10

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Robinhood, the fintech discount broker : recent developments and concerns

Shorter, Gary W.

Series:

In focus (Library of Congress. Congressional Research Service) ; IF11663.

Publisher:

[Washington, D.C.] : Congressional Research Service, 2020-

Edition:

[Library of Congress public edition].

Phys. Desc.:

1 online resource.

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Search Results Results 1 - 10 of 24 (page 1 of 3)

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