Thu. January 08, 2009
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Accountingweb.com
January 8, 2009
Dividend.com
January 8, 2009
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
Newsday
January 8, 2009
... paper salvos yesterday as they battled over whether the disgraced investment adviser should have his $10 million bail revoked and be thrown in jail. ...
Oakland Press
January 8, 2009
Before you invest in anything it makes sense to analyze the features, costs, and what's right for your particular situation, with your investment adviser. ...
Traders
January 8, 2009
When this regulation became effective, the Madoff firm registered as an
investment adviser, while retaining its registration as a
broker-dealer. ...
Bloomberg
January 7, 2009
6 (Bloomberg) -- Nearly two-thirds of US millionaires say their
investment advisers have failed them during the
global recession, a survey showed. ...
Mondaq News Alerts (registration)
January 7, 2009
According to the Second Circuit, investment advisers suffer no injury-in-fact even when their investors may have suffered a constitutionally redressable ...
Reuters
January 6, 2009
The
SEC is responsible for overseeing registered
broker-dealers, transfer agents, clearing agencies, investment
companies and
investment advisers, ...
InvestmentNews
January 5, 2009
The March 2008 blueprint recommended that
investment advisers be subject to an SRO regime similar to that of
broker-dealers. Such a regime "would enhance ...
Columbus Ledger-Enquirer
January 5, 2009
AP -- A former Atlanta stockbroker and investment adviser is accused of diverting about $3 million for personal use, including $1 million from a 90-year-old ...
Compliance Reporter
January 5, 2009
The investment adviser Association on Monday called for the threshold for federally-regulated investment advisers to be raised to enable the Securities and ...
BNET
January 5, 2009
While the number of
SEC regulators has dropped from 1338 to 1192 from 2005 to 2007, the number of
investment advisers has been up 50 percent since 2002. ...
Christian Science Monitor
January 4, 2009
There is, of course, no right answer for everyone,
investment advisers say. "This
market has tested people's risk tolerances, and now we know a lot more ...
Newsday
January 4, 2009
That typically is a sign that we're forming a bottom," said Eric Thorne, an investment adviser at Bryn Mawr Trust. The Dow Jones industrial average closed ...
Bloomberg
January 4, 2009
... Authority as well as the propriety of the selection process by which the firm was chosen to serve as the state's swaps and investment adviser in 2004. ...
Dividend.com
January 4, 2009
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
Salt Lake Tribune
January 3, 2009
If you can't sleep at night, you are taking too much risk," said Larry Swedroe, an investment adviser in Clayton, Mo., whose mantra -- never take more risk ...
Dividend.com
January 3, 2009
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
RTT News
January 3, 2009
The amount and timing of repurchases will be at the discretion of the
investment adviser to the Fund, and subject to
market conditions and investment ...
Salt Lake Tribune
January 3, 2009
If you can't sleep at night, you are taking too much risk," said Larry Swedroe, an investment adviser in Clayton, Mo., whose mantra -- never take more risk ...
Reuters
January 3, 2009
The investment adviser's firm, Bernard L. Madoff Investment Securities, is being liquidated under court-appointed trustee Irving Picard, a lawyer. ...
Dividend.com
January 3, 2009
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
Occupational Health Safety
January 1, 2009
The US House education and Labor Committee's chairman, Rep. George Miller, called a hearing recently to challenge the Pension Benefit Guaranty Corporation ...
Arizona Republic
December 31, 2008
About three in four investment advisers polled recently in a national survey expect higher stock prices in the coming year. "Managers believe that the ...
Boston Globe
December 31, 2008
There were, in fact, warnings about the dangers of these securities, from investment advisers and major accounting firms. Auction-rate securities had boomed ...
Bloomberg
December 31, 2008
Thema Fund was distributed to investors by Genevalor, Benbassat & Cie., a Geneva-based investment adviser, according to Benbassat's Web site. ...
Dividend.com
December 31, 2008
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
Bucyrus Online
December 31, 2008
They should ask if the investment advisers or investment adviser representatives are licensed and if there have been any enforcement actions taken against ...
New York Times
December 31, 2008
Oren Idelman, 33, an
investment adviser at a nearby bank, said, "I'm prepared to live like this for months, as long as the
army continues this aggressive ...
Bloomberg
December 31, 2008
The victims include a
Montana investment adviser, his 94-year-old mother, his 95-year-old
aunt and his brother and sister, Egan said in an interview with ...
Cherry Hill Courier Post
December 30, 2008
Dr. Khalique Zahir found Azzad
Asset Management in Falls Church, Va., while looking for an
investment adviser that observed
Islamic rules banning things ...
New York Times
December 30, 2008
"I'm prepared to live like this for months, as long as the
army continues this aggressive line," said Oren Idelman, 33, an
investment adviser at a nearby ...
Dividend.com
December 30, 2008
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
San Bernardino Sun
December 29, 2008
Dr. Khalique Zahir found Azzad
Asset Management in Falls Church, Va., while looking for an
investment adviser that observed
Islamic rules banning things ...
Dividend.com
December 29, 2008
... definition of "investment adviser" as provided under Section 202(a)(11) of the investment advisers Act of 1940 and corresponding state securities laws. ...
Dallas Morning News
December 29, 2008
Such secrecy from an investment adviser "tells me to cover my wallet and run," said Mr. Johnston, author of Robbed at Pen Point. "All the attention centers ...
Jack County Herald
December 29, 2008
Investigate the investment adviser and salesperson thoroughly. Contact your state or provincial securities agency to find out if he or she is properly ...
Reuters
December 29, 2008
Madoff, a 70-year-old
investment adviser and former chairman of the
Nasdaq stock market, was arrested on December 11 and charged with securities fraud. ...
FinancialAdvice.co.uk
December 29, 2008
Many
investment advisers will have experience of very difficult
market conditions but few will have encountered anything like that which we are seeing today ...
Buffalo News
December 28, 2008
By David Robinson NEWS BUSINESS REPORTER The brutal
stock market has battered local
investment advisers, but their innate optimism remains intact. ...
