Tag: Broker-dealer

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The Fed15 Podcast: Understanding the FERS 62 Factor and C Fund Valuation

Added to Collection on: 2024-10-22 19:27:19

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United States securities law
Brokerage firms
Financial adviser
Financial Industry Regulatory Authority
Securities Investor Protection Corporation
U.S. Securities and Exchange Commission
Broker-dealer
Raymond James Financial
Security
Raymond James Financial Services Advisors Inc.

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Mid-Career Financial Planning for Female Federal Employees: Knowing Your Priorities

Added to Collection on: 2024-10-29 21:26:39

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United States securities law
Brokerage firms
Financial adviser
Financial Industry Regulatory Authority
Securities Investor Protection Corporation
U.S. Securities and Exchange Commission
Broker-dealer
Raymond James Financial
Security
Raymond James Financial Services Advisors Inc.

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SEC Outlines 2025 Examination Priorities | Latham & Watkins LLP - JDSupra

Added to Collection on: 2024-11-05 23:27:42

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Financial adviser
Financial markets
U.S. Securities and Exchange Commission
Investment company
Environmental, social, and governance
Broker-dealer
Conflict of interest
Investment fund
Citigroup
Registered Investment Adviser
Investment Advisers Act

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Edward Jones, Osaic, Cambridge to pay $8.2M over mutual fund fumbles

Added to Collection on: 2024-12-21 09:27:05

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Brokerage firms
United States securities law
Financial Industry Regulatory Authority
Financial markets
Broker-dealer
Mutual fund
Cambridge Investment Research
Selling away
Registered Investment Adviser

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Give YOURSELF a Gift this Year: Check Out Our Year-End Checklist for Feds

Added to Collection on: 2024-12-23 21:35:51

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United States securities law
Brokerage firms
Financial adviser
Financial Industry Regulatory Authority
Securities Investor Protection Corporation
U.S. Securities and Exchange Commission
Broker-dealer
Raymond James Financial
Security
Raymond James Financial Services Advisors Inc.

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The Sustainable Finance Podcast: Helping private companies achieve sustainability goals

Added to Collection on: 2024-12-23 16:33:49

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76th United States Congress
Financial history of the United States
Investment Advisers Act
Broker-dealer
Security
Financial adviser
Registered Investment Adviser

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Growing a small account this year? Check this out... - Raging Bull

Added to Collection on: 2025-01-20 14:58:05

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Financial markets
Stock market
Corporate crime
Corporate finance
Financial capital
Stock
U.S. Securities and Exchange Commission
Broker-dealer
Short
Day trading
Security

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Netcapital to Host Planned Reg A Offering by Algernon NeuroScience | The Manila Times

Added to Collection on: 2025-03-08 01:41:31

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United States securities law
Forward-looking statement
U.S. Securities and Exchange Commission
Security
Financial Industry Regulatory Authority
Private placement
Regulation A
Broker-dealer
Regulation S-K

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Netcapital to Host Planned Reg A Offering by Algernon NeuroScience | Markets Insider

Added to Collection on: 2025-03-07 14:40:29

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United States securities law
Stock market
U.S. Securities and Exchange Commission
Communication
Forward-looking statement
Financial Industry Regulatory Authority
Security
Private placement
Regulation A
Broker-dealer
Regulation S-K
Netcapital Securities Inc.
Netcapital Inc.

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WILLIAMS: Think long-term; invest for the future | Opinion | mcalesternews.com

Added to Collection on: 2025-03-15 14:02:36

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Brokerage firms
United States securities law
Registered Investment Adviser
Securities Investor Protection Corporation
Financial adviser
Broker-dealer
Financial Industry Regulatory Authority
Cambridge Investment Research
Adviser
Cetera Financial Group
Cambridge Investment Research Inc.
Registered Principal Securities
Compass Capital Management LLC

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