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4 Oct 2013, 9:01 am
Can I get sponsored for the series 7 without actually working for a firm? [read post]
6 Jun 2017, 12:32 pm
In April 2005, a claim was filed alleging that Walker practiced in excessive turnovers in the client’s mutual fund account. [read post]
2 Jan 2016, 7:32 am
Stone Lion’s hedge funds are down about 7% through the end of July. [read post]
3 Aug 2007, 4:41 pm
The securities in question are notes issued by Kemper Lumbermen's Mutual Casualty Co. [read post]
9 Sep 2022, 6:30 am
Fisch (University of Pennsylvania), on Wednesday, September 7, 2022 Tags: Climate change, Diversity, ESG, Institutional Investors, Mutual funds, Sustainability BlackRock Voting Spotlight—A Look Into the 2021-2022 Proxy Voting Year Posted by Sandra Boss and Michelle Edkins, BlackRock, Inc., on Wednesday, September 7, 2022 Tags: Climate change, ESG, Index funds, Institutional Investors, Proxy voting, Shareholder proposals, Stewardship,… [read post]
16 Feb 2010, 2:05 pm
Auction rate securities are fixed-income debt instruments – typically municipal bonds, preferred shares of closed end mutual funds, or asset-backed securities collateralized by student loans or mortgages – for which the interest rate is regularly reset through an auction process. [read post]
29 Sep 2011, 2:00 am
”[7] ? [read post]
29 Sep 2011, 2:00 am
”[7] ? [read post]
7 Jan 2021, 2:47 pm
OCIE Examination Priorities On January 7, 2020, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) started off the year by announcing its examination priorities. [read post]
9 Nov 2007, 10:23 am
For publication opinions today (4): In State Farm Mutual Automobile Insurance Company v. [read post]
9 Jul 2011, 9:53 pm
John Fund Inc. v. [read post]
7 Aug 2019, 6:30 pm
NTF mutual funds maybe purchased within an investment advisory account at no charge to the client. [read post]
17 Jul 2012, 10:24 pm
REIT investments like the TNP Strategic Retail Trust typically offer commissions between 7-10 percent, which is significantly higher than traditional investments like mutual funds and stocks. [read post]
27 Aug 2012, 6:32 am
Describe them Does anyone owe you money Have you given away anything in the last two years Have you sold anything in the last year Do you own any stocks, bonds or mutual funds outside of a 401k or IRA account Do you own any firearms Do you own any jewelry Do you own any real estate These are examples of questions most commonly asked the bankruptcy trustee at a 341 meeting. [read post]
16 Mar 2023, 9:05 pm
”[7] OEFs are assessed as accounting for three-quarters of this narrow measure. [read post]
22 May 2009, 1:19 pm
The commission would be called "The Financial Product Safety Commission" and it would regulate all mortgages, credit cards, and mutual funds. [read post]
28 Oct 2006, 11:55 pm
Paradoxically too much choice can be paralyzing, from buying jam and speed dating to mutual fund investing (too many fund choices, investment goes down). [read post]
9 Oct 2023, 9:05 pm
Mutual funds, especially passive investors like index funds, have weak incentives to monitor and acquire information about the companies in their portfolios. [read post]
25 Jul 2016, 5:08 am
While many of the aforementioned investment objectives can and do work in tandem, oftentimes investors use them in a mutually exclusive fashion. [read post]
8 Jul 2020, 12:08 am
Workers’ Compensation Insurer Responses to COVID-19Friday, July 10 from 12:30 to 1:30 EasternThis free NIOSH Center for Workers’ Compensation Studies (CWCS) webinar will highlight the ways that many insurers are responding to COVID 19:Communicating prevention programsProviding funding for engineering controls and PPEProviding remote risk control servicesA panel of speakers from several state-based insurers will discuss approaches and conduct a Q/A… [read post]
