Google Alert - investment advisers

News 4 new results for investment advisers

Two years later, Dodd-Frank remains in neutral InvestmentNews The Dodd-Frank law gave the SEC the authority — but didn't require it — to promulgate a rule that would impose a universal fiduciary duty on anyone providing retail investment advice and harmonize regulations governing investment advisers and brokers. See all stories on this topic »

RIA units at Schwab, TD Ameritrade drive assets InvestmentNews The registered investment adviser units at The Charles Schwab Corp. and TD Ameritrade Holding Corp. posted second-quarter gains, even though the firms' individual-investor businesses remained in the doldrums, with low trading volumes and interest rates. See all stories on this topic »

Competition heats up between trusts Financial Times At present, the UK's army of mass-market independent financial advisers has seen fit to place just 0.5 per cent of their clients' money in investment trusts, according to Ian Sayers, director-general of the Association of Investment Companies, the trade body. See all stories on this topic » Financial Times

European crisis forces change on Russia Pittsburgh Post Gazette Some investment advisers and economists are skeptical that can be achieved, but would consider any move in the right direction a success. Others contend that Russia doesn't deserve its tarnished reputation and called the index meaningless. They agree ... See all stories on this topic »

Web 7 new results for investment advisers

Investment Advisers Act Registration and Advice: Richards Kibbe ... Our clients range from advisory firms who are new to the market to the most well- established hedge fund advisers. Our hallmark is tailored, practical Investment ... www.rkollp.com/practices-176.html

Ohanesian/Lecours, Inc. and Richard Hammond Consent Agreement ... li> <li>OLI is a federal covered investment adviser and has been noticed filed in Maine since April of 1997.</li> <li>On March 22, 2012, OLI self-reported to the ... www.maine.gov/tools/whatsnew/index.php?topic=SEC...

Lewis Chamberlain: Investors should beware of hypothetical success Lewis Chamberlain, AIF, CIS, is an investment adviser representative offering securities and investment advisory services through Multi-Financial Securities ... m.redding.com/.../lewis-chamberlain-investors-should-beware-...

NAIFA Blog: Dodd-Frank Turns Two :: Compliance News Hub Secondly, NAIFA supports the legislative effort that has grown from Dodd-Frank to close the regulatory gap between investment advisers and registered reps. tgtai.net/compliance/2012/.../naifa-blog-dodd-frank-turns-two/

Investment Industry Professionals - North Carolina Secretary of State 7, "May an investment adviser representative register with more than one firm ... Broker-dealers, investment advisers and their representatives must register with ... https://www.secretary.state.nc.us/sec/secfaqforindustry.aspx

861-3798 Massive Arab Upheavals Matc - Israel Investment Advisors Israel Investment Advisors, LLC. 1670 Broadway, Suite 3000. Denver, Colorado 80202. (303) 861-3798. Massive Arab Upheavals Matched by Israeli Financial ... www.israelinvestmentadvisors.com/.../Q1-2011-Massive-Arab-...

Investment Advisers: Law & Compliance (eBook for e-readers ... Investment Advisers: Law & Compliance (eBook for e-readers, including ... Who is an "investment adviser" and subject to the Act - and who is not covered ... www.lexisnexis.com/store/.../productdetail.jsp?...

---

This once a day Google Alert is brought to you by Google.

Delete this alert.
Create another alert.
Manage your alerts.