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1.972 documents for investment adviser magazine

- Lowe v. SEC, 472 U.S. 181 (1985)
... petitioner) that was registered as an investment adviser under the Investment Advisers Act of 1940 ... of any bona fide newspaper, news magazine, or business or financial publication of general a...
- U.S. Supreme Court
- Investment Adviser Regulation In New York: Nine Questions For Analyzing Federal And State Regulatory Burdens.
... of a bona fide newspaper, news magazine or business or financial publication of general an...
- Mondaq Business Briefing
- Nbr. 2008, March 2008
- 17 CFR 248.120 - Definitions.
...(a) Affiliate of a broker, dealer, or investment company, or an investment adviser or transfer agen... example, television, general circulation magazine, billboard advertisements and publicly available W...
- Code of Federal Regulations - Title 17: Commodity and Securities Exchanges

- Hedge Funds: Their Advisers Do Not Have to Register with the SEC, but More Information and Other Alternatives are Recommended
Introduction. II. Hedge Funds. A. Regulation of Hedge Funds. 1. The Securities Act of 1933. 2. The Securities Exchange Act of 1934. 3. The Investment Company Act of 1940. 4. The Investment Advisers Act of 1940. B. The First Major Hedge Fund Collapse and the Aftermath of the Collapse. C. The Hedge Fund Rule. III. Goldstein v. Sec. IV. Recommendations. V. Conclusion.

... of any bona fide newspaper, news magazine, or business or financial publication. Id. at 21...
- Louisiana Law Review
- Nbr. 67-1, October 2006
- Investment Adviser Regulation In New York: Nine Questions For Analyzing Federal And State Regulatory Burdens
... of a bona fide newspaper, news magazine or business or financial publication of general an...
- Mondaq Business Briefing
- United States Law Articles in English
- Ernst & Young Entrepreneur of the Year 2009: Chauncey C. Mayfield, for the Love of Real Estate
MGRA is presently registered as an SEC investment adviser that provides clients services in investment and asset management, as well as corporate services. [...] of MGRA's accomplishments, Mayfield and his company were recognised by Pensions & Investments magazine as one of the Top 100 money managers in the U.S. Much of Mayfield's success is a result of the work environment he provides for his employees, as the company provides 100 percent health care coverage for employees and a flexible workplace because he believes family is the No. 1 priority.
- Smart Business Detroit
- Vol. 5 Nbr. 4, July 2009
- Investment Adviser Registration for Private Equity Fund Managers.
- Mondaq Business Briefing
- Nbr. 2011, January 2011
- Cambridge President Amy Webber Named to Top 50 Women in Wealth Management.
... Profession Selected by Wealth Manager Magazine . FAIRFIELD, Iowa -- Cambridge Investment Research... Advisors, Inc., a Registered Investment Adviser. Both are wholly-owned subsidiaries of Cambridge I...
- Business Wire
- April 06, 2009
- Securities and Exchange Commission, Plaintiff-Appellant-Cross-Appellee, v. Christopher L. Lowe Et Al., Defendants-Appellees-Cross-Appellants., 725 F.2d 892 (2nd Cir. 1984)
...* . OAKES, Circuit Judge:. An investment adviser registered under the Investment Advisers A... hand, and "bona fide newspaper[s], news magazine[s], or business or financial publication[s] of gen...
- Federal Circuits
- Syria and the financial crisis: prospects for reform?
... institutions, financial markets, investments, foreign-currency holdings and international trade...He and Abdullah Dardari, a former UNDP adviser and current Syrian deputy prime minister for econo...In a 2008 interview with Forward Magazine, he dismissed IMF estimates of 15 percent inflatio...
- Middle East Policy
- Vol. 16 Nbr. 2, June 2009