Washington, D.C. WEDNESDAY, NOVEMBER 5, 2014 (All times Eastern Standard Time)

Save this PDF as:
 WORD  PNG  TXT  JPG

Size: px
Start display at page:

Download "Washington, D.C. WEDNESDAY, NOVEMBER 5, 2014 (All times Eastern Standard Time)"

Transcription

1 9:30 am 9:45 am Welcome and Overview of Program Presented by Arthur C. Delibert Mr. Delibert, a partner in the Washington, D.C. office, represents and advises open- and closed-end investment companies, investment advisers, investment company independent trustees, and fund distributors. Mr. Delibert was named Independent Counsel of the Year in 2009 by Fund Directions. Mr. Delibert is responsible for organizing the Washington, D.C. Investment Management Conference. You may reach him at or 9:45 am 10:30 am Overview of the Investment Company Complex Presented by Fatima S. Sulaiman Regulatory Statutes Governmental Authorities Structure of Fund Complexes Service Providers and their Agreements Ms. Sulaiman is a partner in the Washington, D.C. office who provides legal advice to investment companies, their independent directors, and investment advisers on transactional, regulatory and compliance matters. Her experience includes serving as counsel to registered funds and their boards; counseling clients in the establishment, registration, and operation of retail and institutional fund products; representing clients in merger and acquisition transactions and fund reorganizations; obtaining regulatory relief on behalf of clients via SEC exemptive applications and no-action letters; counseling clients experiencing or anticipating SEC inspections and examinations; and developing governance programs for fund boards, including reviews of board committee structures and committee charters. You may reach her at or 10:30 am 10:45am Break

2 10:45 am 11:45am Organizing an Investment Company, Registering Its Shares and Maintaining a Continuous Offering Presented by Nicole Trudeau Forms of Organization Registration of Shares on Form N 1A and Form N Act Requirements Capitalization, Independent Directors & Shareholder Approvals Ms. Trudeau, an associate in the Washington, D.C. office, represents investment companies (including open- and closed-end funds, exchange-traded funds (ETFs), unit investment trusts (UITs) and variable products), other pooled investment vehicles (such as business development companies (BDCs)) and their independent board members, as well as investment advisers on matters arising under U.S. federal securities laws, particularly the Investment Company Act of You may reach her at or 11:45 am 12:30 pm Mutual Fund Advertising and Social Media Presented by Christopher P. Healey and Marguerite W. Laurent SEC Regulation Use of Related Performance FINRA Regulation and Review What is Social Media and Why is it Important? Legal Framework Third-Party Posts and Content Drafting Social Media Policies Mr. Healey is an associate in the firm s Washington, D.C. office. He focuses his practice on investment management matters. You may reach him at or Ms. Laurent is an associate in the firm s Washington, D.C. office. She focuses her practice in the area of investment management. She advises and represents investment companies, investment company independent directors and investment advisers on transactional, regulatory, and compliance issues. Prior to joining K&L Gates, Ms. Laurent was a senior counsel with the U.S. Securities and Exchange Commission, where she conducted routine and risk-based inspections of self-regulatory organizations and nationally recognized statistical rating organizations to ensure compliance with federal securities laws, among other matters. You may reach her at or 2

3 12:30 pm 1:30 pm Lunch and Policy Group Presentation Presented by Daniel F. C. Crowley Mr. Crowley is a partner in the firm s Washington, D.C. office. He has a broad public policy background, particularly on financial services, capital markets and retirement security issues. Prior to joining K&L Gates, Mr. Crowley was Chief Government Affairs Officer at the Investment Company Institute, the national association of the mutual fund industry. Previously, Mr. Crowley was Vice President and Managing Director, Office of Government Relations, the Nasdaq Stock Market, Inc. (NASDAQ). He joined NASDAQ after managing government relations during the spin-off of NASDAQ from its former parent, the National Association of Securities Dealers, Inc. (NASD). Before joining NASD as Vice President, Governmental Affairs, Mr. Crowley served for eight years in the U.S. House of Representatives in increasingly senior staff positions, including: General Counsel, Office of the Speaker; General Counsel, Committee on House Oversight; and Minority Counsel, Committee on House Administration. You may reach him at or 1:30 pm 1:35 pm Welcome to Advanced Program Presented by Arthur C. Delibert 1:35 pm 2:05 pm Mutual Fund Pricing and Fair Valuation Presented by Franklin H. Na Mr. Na is a partner in the Washington, D.C. office. He advises and represents clients on issues related to federal securities law disclosure and SEC registration as well as investment company transactions. Mr. Na has drafted registration statements and proxy statements, as well as legal documents relating to the formation, reorganization and termination of investment companies. You may reach him at or 3

4 2:05 pm 3:05 pm Duties and Responsibilities of Investment Advisers; Investment Policies and Limitations; Transactions with Affiliates Presented by Alan C. Porter and Mark C. Amorosi The Investment Objective of a Fund Fundamental and Non-Fundamental Investment Policies and Limitations Transactions with Affiliates Duties of Investment Advisers Codes of Ethics Mr. Porter is a partner in the Washington, D.C. office with more than 30 years of experience as an investment management and securities lawyer. His practice focuses on representing financial services firms, principally registered investment companies and investment advisers. Mr. Porter advises clients regarding a variety of regulatory and corporate matters, including the public and private offering of fund securities, exemptive applications, no-action letter requests and other filings with the U.S. Securities and Exchange Commission, investment adviser and company merger and acquisition transactions, and governmental and self-regulatory compliance, inspection, and enforcement matters. His practice also includes representation of fund independent directors/trustees. Prior to entering private practice, Mr. Porter served on the staff of the SEC in the Division of Investment Management. Mr. Porter is a regular speaker and panelist at industry conferences and seminars. He has been recognized as being among the nation s leading investment management attorneys by The Legal 500 United States (2009 edition). You may reach him at or com. Mr. Amorosi, a partner in the Washington, D.C. office, concentrates on investment company and investment adviser regulatory and transactional issues and securities law issues relating to investment products issued by insurance companies, including variable annuities and variable life insurance. Mr. Amorosi also counsels investment company administrators, broker-dealers and transfer agents on related issues. Prior to joining K&L Gates, Mr. Amorosi worked in the Division of Investment Management at the SEC, where he held the positions of Special Counsel ( ), Branch Chief ( ) and Attorney Adviser ( ). You may reach him at or 3:05 pm 3:25 pm Break 4

5 3:25 pm 4:10 pm The Fund's Board of Directors and the Audit Committee Presented by Donald W. Smith What Do They Do? Qualifications for Office General Fiduciary Duties Special Responsibilities Under the 1940 Act Independence Issues Audit Committee Responsibilities Under Sarbanes-Oxley Mr. Smith concentrates his practice on investment management and mutual fund law. He serves as counsel to registered investment companies and their boards of directors, with a particular focus on bank-affiliated investment companies. In addition to providing regulatory and compliance counseling on routine and complex operational issues, he advises registered investment company and investment adviser clients on the impact of the rapidly changing regulatory landscape. His experience also extends to trust and investment management activities of banks and their affiliates, as well as questions arising from the other securities activities of banking institutions. You may reach him at or 4:10 pm 4:40 pm Update on 36(b) Litigation Presented by Jeffrey B. Maletta Mr. Maletta represents public and private companies, broker-dealers, investment companies and their advisors, and individuals in securities and corporate litigation, and in investigations by the Department of Justice and Securities and Exchange Commission involving the federal securities laws and related statutes. Mr. Maletta also advises law firms and individual attorneys on professional responsibility issues. Prior to practicing at K&L Gates, Mr. Maletta served as law clerk to Barrington D. Parker, United States District Judge for the District of Columbia, and in the Office of General Counsel of the Securities and Exchange Commission. You may reach him at or 4:40 pm 5:00 pm Break and Refreshments 5

6 5:00 pm 6:00 pm Litigation Issues In Investment Management Presented by Stephen G. Topetzes Mr. Topetzes is a partner in the firm s Washington, D.C. office. His practice is focused on securities enforcement, securities litigation and corporate internal investigations. He regularly represents public companies, boards of directors, broker-dealers, investment advisers, investment companies and individuals in a wide range of matters, including investigations by the United States Securities and Exchange Commission, the United States Department of Justice, the Financial Industry Regulatory Authority, and state securities regulators or attorneys general. He also has extensive experience handling complex securities litigation, including regulatory or disciplinary proceedings, class action lawsuits and arbitrations. You may reach him at or 6

7 THURSDAY, NOVEMBER 6, :30 am 8:35 am Welcome Presented by Arthur C. Delibert 8:35 am 10:00 am Hot Topics On Recent Developments Moderated by Arthur C. Delibert Presented by Stephen J. Crimmins, Arthur C. Delibert, Marguerite W. Laurent and András P. Teleki Cyber-Security Enforcement Intermediary Payments SEC Sweeps Examinations Mr. Crimmins is a partner in the New York and Washington, D.C. offices who represents clients in enforcement investigations and litigation conducted by the Securities and Exchange Commission and other financial services regulators, as well as in private securities litigation. He also leads internal investigations and counsels on regulatory compliance, corporate governance and other SEC-related issues. Mr. Crimmins practiced with the SEC for 14 years, eight of which were in senior management. As the Deputy Chief Litigation Counsel of the SEC s Enforcement Division in Washington, D.C. from 1993 until 2001, he was one of 11 members of the Senior Executive Service at division headquarters. Mr. Crimmins co-managed a unit of 25 first-chair trial attorneys representing the SEC in hundreds of securities cases in the federal courts and in administrative proceedings. He also consulted on SEC investigations, participated actively in settlement negotiations, and served as an adviser to attorneys in SEC regional offices. Mr. Crimmins joined the SEC as a trial attorney in 1987 and continued to litigate and try cases for the agency after his promotion to senior management in He began his career at a large New York law firm after studying law at Columbia. He may be reached at , or Mr. Teleki, a partner in Washington, D.C. office, focuses his practice on regulatory compliance issues facing registered investment companies, including mutual funds and closed-end funds, broker-dealers, investment advisers, unregistered funds, variable insurance product issuers and distributors, and related service providers. He also advises financial institutions on anti-money laundering and OFAC issues. Mr. Teleki also has experience in corporate governance and Sarbanes-Oxley issues. You may reach him at or com. 10:00 am 10:15 am Break 7

8 THURSDAY, NOVEMBER 6, :15 am 10:45 am Distribution of Mutual Fund Shares Presented by Robert J. Zutz Mr. Zutz is a partner in the Washington, D.C. office of K&L Gates who has 30 years of experience as a securities lawyer. His practice focuses on the representation of investment companies, their independent directors and trustees, investment advisers and brokerdealers. Prior to joining K&L Gates in 1983, he was a member of the SEC staff for over five years, including service in the Division of Investment Management and as Legal Counsel to a Commissioner. He currently has primary responsibility for the day-to-day representation of numerous mutual funds and/or their Boards of Directors or Trustees, and he assists in the representation of various other funds and their managers. Mr. Zutz has been recognized as being among the nation s leading investment management attorneys by several independent sources, including the nine most recent annual editions ( ) of Chambers USA: America s Leading Lawyers for Business. You may reach him at or 10:45 am 11:30 am Compliance and Examinations Presented by András P. Teleki 11:30 am 12:15 pm Portfolio Brokerage Practices Presented by K. Susan Grafton Best Price and Execution Duty Trade Allocation Matters Soft Dollars and Directed Brokerage Arrangements Ms. Grafton is a partner in the firm s Washington, D.C. and New York offices, and focuses her practice on advising broker-dealers and investment advisers on their business, regulatory, and compliance issues. Since 2010, Chambers USA has selected her as a leading lawyer for Financial Services Regulation: Broker-Dealer (Compliance). She represents clients in all aspects of broker-dealer and investment adviser registration with the Securities and Exchange Commission ( SEC ), Financial Industry Regulatory Authority, and states, and counsels them on related structural, supervisory, financial, and operational issues. In addition, she advises clients on a wide variety of sales, trading, and operational compliance issues including research and other written communications; soft dollars and commission sharing arrangements; political contributions, outsourcing and expense sharing arrangements, Regulations M, ATS, NMS, and SHO; sponsored access and other electronic trading issues; large trader and position reporting, books and records requirements; and OATS and trade reporting. You may reach her at or 8

9 THURSDAY, NOVEMBER 6, :15 pm 1:00 pm Lunch 1:00 pm 1:45 pm Exchange Traded Funds (ETFs) Presented by Stacy L. Fuller ETFs have gathered significant assets since their introduction in Many fund managers that don t yet sponsor ETFs are establishing or considering establishing them. This seminar will cover what you need to know to start up an active or index-based ETF and introduce the newest ETFs on the block commodity and currency ETFs. Ms. Fuller, a partner in the Washington, D.C. office, focuses her practice on serving the needs of registered investment companies with a particular emphasis on ETFs and funds of funds. Ms. Fuller joined K&L Gates from the SEC, where she had been a branch chief in the Division of Investment Management (Exemptive Applications) and an attorney in the Office of General Counsel (Office of Legal Policy). In addition, Ms. Fuller provides counsel on the legal issues that arise in connection with the exemptive application process. You may reach her at or 1:45 pm 2:15 pm Federal Tax Aspects Affecting Mutual Fund Operations Presented by Theodore L. Press Mr. Press practice focuses on federal and state income tax matters involving financial institutions and other corporations, private investment and other partnerships and limited liability companies (including hedge funds ), other pass-through entities (including regulated investment companies, common and collective trust funds, and group trusts), and individuals (including U.S. citizens, as well as resident and nonresident aliens). You may reach him at or 2:15 pm 3:00 pm ERISA Presented by William A. Schmidt Mr. Schmidt works in the areas of institutional investing and employee benefits, with particular emphasis on fiduciary responsibility matters under the Employee Retirement Income Security Act of 1974 ( ERISA ). Mr. Schmidt advises major financial institutions, including banks, insurance companies, registered investment advisers and large employee benefit plans, about ERISA restrictions relating to plan investments and to fee arrangements for investment management and plan administrative services. You may reach him at or 9

Chicago, Illinois TUESDAY, OCTOBER 7, 2014 (All times Central Daylight Time)

Chicago, Illinois TUESDAY, OCTOBER 7, 2014 (All times Central Daylight Time) 8:30 am 8:45 am Welcome and Overview of the Program Presented by: Alan Goldberg Mr. Goldberg s practice focuses on representing registered investment companies and their boards, investment advisers and

More information

New York, New York THURSDAY, DECEMBER 10, 2015

New York, New York THURSDAY, DECEMBER 10, 2015 1:00 pm 1:10 pm Welcome and Overview of the Program Presented by Ed Dartley Mr. Dartley is a partner in the firm s New York office where he is a member of the Investment Management, Hedge Funds and Alternative

More information

San Francisco, California WEDNESDAY, NOVEMBER 12, 2014 (All times Pacific Standard Time)

San Francisco, California WEDNESDAY, NOVEMBER 12, 2014 (All times Pacific Standard Time) 9:00 am 9:05 am Welcome and Introduction Presented by Mark D. Perlow and Richard M. Phillips Mr. Phillips concentrates his practice in securities regulation, particularly SEC enforcement, investment management

More information

Chicago, Illinois THURSDAY, NOVEMBER 21, 2013 (All times Central Standard Time)

Chicago, Illinois THURSDAY, NOVEMBER 21, 2013 (All times Central Standard Time) 8:30 am 8:45 am Welcome and Overview of the Program Presented by Alan Goldberg Mr. Goldberg s practice focuses on representing registered investment companies and their boards, investment advisers and

More information

Boston, Massachusetts TUESDAY, DECEMBER 9, 2014

Boston, Massachusetts TUESDAY, DECEMBER 9, 2014 ADVANCED TOPICS IN INVESTMENT MANAGEMENT 9:00 am 9:05 am Welcome and Introduction Presented by Michael S. Caccese Mr. Caccese is one of three Practice Area Leaders of K&L Gates Financial Services practice,

More information

JOBS Act/Crowdfunding. Alistair Johnson, Surveillance Director, FINRA, New Orleans District Office

JOBS Act/Crowdfunding. Alistair Johnson, Surveillance Director, FINRA, New Orleans District Office JOBS Act/Crowdfunding Alistair Johnson, Surveillance Director, FINRA, New Orleans District Office Alistair E. Johnson, Surveillance Director in FINRA s New Orleans District Office, manages regulatory coordinator

More information

Form 13H Filing Considerations for Investment Managers. September 27, 2011

Form 13H Filing Considerations for Investment Managers. September 27, 2011 Form 13H Filing Considerations for Investment Managers September 27, 2011 Table of Contents I. II. III. IV. V. VI. VII. VIII. IX. X. Introduction... Background... Who is a Larger Trader?. Who has the filing

More information

Part 2A of Form ADV: Firm Brochure

Part 2A of Form ADV: Firm Brochure Part 2A of Form ADV: Firm Brochure Item 1 Cover Page A. VL Capital Management LLC 55 West Church Street Orlando, FL 32801 Mailing Address: P.O. Box 1493 Orlando, FL 32802 Phone: (407) 412-6298 Effective

More information

Janet M. Angstadt Partner +1.312.902.5494 janet.angstadt@kattenlaw.com 525 West Monroe Street Chicago, IL 60661-3693 Practices Industries Education

Janet M. Angstadt Partner +1.312.902.5494 janet.angstadt@kattenlaw.com 525 West Monroe Street Chicago, IL 60661-3693 Practices Industries Education Janet M. Angstadt Partner +1.312.902.5494 janet.angstadt@kattenlaw.com 525 West Monroe Street Chicago, IL 60661-3693 Practices FOCUS: Financial Services Broker-Dealer Regulation Financial Services Regulatory

More information

AGENCY: Securities and Exchange Commission ( Commission ). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940

AGENCY: Securities and Exchange Commission ( Commission ). ACTION: Notice of an application under section 6(c) of the Investment Company Act of 1940 This document is scheduled to be published in the Federal Register on 12/23/2015 and available online at http://federalregister.gov/a/2015-32193, and on FDsys.gov 8011-01p SECURITIES AND EXCHANGE COMMISSION

More information

JOHN HANCOCK FUNDS II 601 Congress Street Boston, Massachusetts 02210-2805

JOHN HANCOCK FUNDS II 601 Congress Street Boston, Massachusetts 02210-2805 JOHN HANCOCK FUNDS II 601 Congress Street Boston, Massachusetts 02210-2805 August 5, 2014 Dear Shareholders: Enclosed is the Information Statement of John Hancock Funds II (the Trust or JHF II ) regarding

More information

FSB Premier Wealth Management, Inc. 131 Tower Park Drive Suite 115. Waterloo, IA 50701 Phone: 800-747-9999. Fax: 319-291-8626. www.fsbfs.

FSB Premier Wealth Management, Inc. 131 Tower Park Drive Suite 115. Waterloo, IA 50701 Phone: 800-747-9999. Fax: 319-291-8626. www.fsbfs. FSB Premier Wealth Management, Inc. 131 Tower Park Drive Suite 115 Waterloo, IA 50701 Phone: 800-747-9999 Fax: 319-291-8626 www.fsbfs.com This brochure provides information about the qualification and

More information

WISLAR WEALTH MANAGEMENT, LLC 10 East Broad Street Hopewell, NJ 08525

WISLAR WEALTH MANAGEMENT, LLC 10 East Broad Street Hopewell, NJ 08525 WISLAR WEALTH MANAGEMENT, LLC 10 East Broad Street Hopewell, NJ 08525 A SEC Registered Advisory Firm 1 FIRM BROCHURE, MARCH 2011 This brochure provides information about the qualifications and business

More information

INVESTMENT ADVISER PRACTICE

INVESTMENT ADVISER PRACTICE INVESTMENT ADVISER PRACTICE Investment Adviser Practice Seward & Kissel LLP is a leading law firm in the United States that provides legal advice emphasizing business, financial and commercial law and

More information

Unison Advisors LLC. The date of this brochure is March 29, 2012.

Unison Advisors LLC. The date of this brochure is March 29, 2012. Unison Advisors LLC 2032 Belmont Road NW, #619 Washington, DC 20009 T 646 290 7697 F 646 290 5477 www.unisonadvisors.com The date of this brochure is March 29, 2012. This brochure provides information

More information

Summit Wealth Group, Inc. d/b/a Summit Wealth Management

Summit Wealth Group, Inc. d/b/a Summit Wealth Management d/b/a Summit Wealth Management Form ADV Part 2A Appendix 1 Wrap Fee Program Brochure Effective: March 6, 2015 This Wrap Fee Brochure provides information about the qualifications and business practices

More information

BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702

BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702 BRYAN T. FORMAN 112 E. Line Street; Suite 310 Tyler, Texas 75702 Telephone: 903.597.2221 Email: bryan@bryanforman.com Digital 903.520.6786 Web: www.bryanforman.com CAREER HISTORY Present: THE FORMAN LAW

More information

December 15, 2014. FINRA Notice 14-50 Relating to Proposed Pay to Play Rules. Dear Ms. Asquith:

December 15, 2014. FINRA Notice 14-50 Relating to Proposed Pay to Play Rules. Dear Ms. Asquith: Marcia E. Asquith Office of the Corporate Secretary Financial Industry Regulatory Authority 1735 K Street NW Washington, DC 20006-1506 Re: FINRA Notice 14-50 Relating to Proposed Pay to Play Rules Dear

More information

Wise Planning, Inc. 1401 Tower Road, Winnetka, IL 60093 847-834-9473 www.wiseplanninginc.com March 10, 2016

Wise Planning, Inc. 1401 Tower Road, Winnetka, IL 60093 847-834-9473 www.wiseplanninginc.com March 10, 2016 Item 1 Cover Page Wise Planning, Inc. 1401 Tower Road, Winnetka, IL 60093 847-834-9473 www.wiseplanninginc.com March 10, 2016 This Brochure provides information about the qualifications and business practices

More information

Descriptions of Internships Available in the SEC s Divisions and Offices

Descriptions of Internships Available in the SEC s Divisions and Offices Descriptions of Internships Available in the SEC s Divisions and Offices The SEC hires interns across the country into a variety of jobs. Below are descriptions of the different divisions and offices that

More information

Mutual Fund Governance Independent Directors Rule

Mutual Fund Governance Independent Directors Rule Association of Corporate Counsel Corporate Governance Seminar Mutual Fund Governance Independent Directors Rule 5:00 PM 5:50 PM Baruch Performing Arts Center Engelman Recital Hall 55 Lexington Ave New

More information

Investment Management APRIL 2004

Investment Management APRIL 2004 Investment Management APRIL 2004 SEC Proposes New Disclosure on Portfolio Managers The Securities and Exchange Commission ( SEC ) recently proposed new disclosure requirements related to portfolio managers

More information

J.H. ELLWOOD & ASSOCIATES, INC. 33 West Monroe, Suite 1850 Chicago, IL 60603 (312) 782-5432 www.ellwoodassociates.com.

J.H. ELLWOOD & ASSOCIATES, INC. 33 West Monroe, Suite 1850 Chicago, IL 60603 (312) 782-5432 www.ellwoodassociates.com. J.H. ELLWOOD & ASSOCIATES, INC. 33 West Monroe, Suite 1850 Chicago, IL 60603 (312) 782-5432 www.ellwoodassociates.com March 31, 2015 This brochure provides information about the qualifications and business

More information

ELECTRONIC BOARD MATERIALS: BEST PRACTICES FOR DIRECTORS

ELECTRONIC BOARD MATERIALS: BEST PRACTICES FOR DIRECTORS ELECTRONIC BOARD MATERIALS: BEST PRACTICES FOR DIRECTORS March 10, 2016 Fabio Battaglia Joseph T. Kelleher This presentation is for educational purposes only. It should not be construed as legal advice

More information

Investor Complaints: Adopting Systems to Address Regulatory Concerns

Investor Complaints: Adopting Systems to Address Regulatory Concerns Investor Complaints: Adopting Systems to Address Regulatory Concerns Ish Manzanares Senior Director, Consulting A. J. Fick Associate Director, Product Management Paul Brzhustovsky Product Manager / Analyst

More information

Alert. Client PROSKAUER ROSE LLP. Regulation of Non-U.S. Investment Advisors and Portfolio Managers Doing Business in the United States

Alert. Client PROSKAUER ROSE LLP. Regulation of Non-U.S. Investment Advisors and Portfolio Managers Doing Business in the United States PROSKAUER ROSE LLP Client Alert Regulation of Non-U.S. Investment Advisors and Portfolio Managers Doing Business in the United States A number of non-u.s. investment counseling firms and investment dealer

More information

VERDE WEALTH GROUP, LLC

VERDE WEALTH GROUP, LLC VERDE WEALTH GROUP, LLC 2323 S. Shepherd Dr. Suite 845 Houston, TX 77019 www.verdewealthgroup.com This brochure provides information about the qualifications and business practices of Verde Wealth Group,

More information

CFTC Part 4 Exemption Easy Reference Guide. Click on the exemption type for more information on how to file and requirements for each exemption.

CFTC Part 4 Exemption Easy Reference Guide. Click on the exemption type for more information on how to file and requirements for each exemption. Click on the exemption type for more information on how to file and requirements for each exemption. Exemption Type General Relief Who Qualifies Exemptions from Registration 4.13(a)(1) (Pool level for

More information

Collective. Prepared by the Coalition of Collective. Investment Trusts

Collective. Prepared by the Coalition of Collective. Investment Trusts Collective Investment Trusts Prepared by the Coalition of Collective Investment Trusts Table of Contents Overview... 2 Collective Investment Trusts Defined... 3 Two Broad Types of Collective Trusts...

More information

WRAP FEE PROGRAM BROCHURE for the Guided Portfolio Services Program and Guided Portfolio Advantage Program (Part 2A Appendix 1 of Form ADV)

WRAP FEE PROGRAM BROCHURE for the Guided Portfolio Services Program and Guided Portfolio Advantage Program (Part 2A Appendix 1 of Form ADV) Item 1 - Cover Page WRAP FEE PROGRAM BROCHURE for the Guided Portfolio Services Program and Guided Portfolio Advantage Program (Part 2A Appendix 1 of Form ADV) VALIC Financial Advisors, Inc. 2929 Allen

More information

Wealth Management Platform. - Advisor Managed Portfolios - Part 2A Appendix 1. Program Brochure. For

Wealth Management Platform. - Advisor Managed Portfolios - Part 2A Appendix 1. Program Brochure. For Wealth Management Platform - Advisor Managed Portfolios - Part 2A Appendix 1 Program Brochure For VISION2020 Wealth Management Corp. One World Financial Center, 15th Floor New York, NY 10281 (800) 821-5100

More information

Treasury Department Proposes Anti-Money Laundering Regulations for Investment Advisers

Treasury Department Proposes Anti-Money Laundering Regulations for Investment Advisers CLIENT MEMORANDUM Treasury Department Proposes Anti-Money Laundering Regulations for Investment Advisers August 28, 2015 AUTHORS Benjamin J. Haskin Russell L. Smith Barbara Block On August 25, 2015, the

More information

Keefer Pension Consulting, Inc. Form ADV Part 2A Disclosure Brochure

Keefer Pension Consulting, Inc. Form ADV Part 2A Disclosure Brochure Form ADV Part 2A Disclosure Brochure Effective: March 31, 2011 This Disclosure Brochure provides information about the qualifications and business practices of Keefer Pension Consulting, Inc. ( Keefer

More information

The term mid-size advisor refers to a registered investment advisors with assets under management between $25 million and $100 million.

The term mid-size advisor refers to a registered investment advisors with assets under management between $25 million and $100 million. VIA ELECTRONIC MAIL Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 RE: File Number S7-36-10 Rules Implementing Amendments to the Investment

More information

WELCOME TO STS. Our clients can be assured of receiving confidential, personalized services when doing business with us.

WELCOME TO STS. Our clients can be assured of receiving confidential, personalized services when doing business with us. WELCOME TO STS Southern Trust Securities Holding Corporation ( STSHC ), based in Coral Gables, Florida, (Miami Dade County) is a holding company that has two wholly owned subsidiaries : Southern Trust

More information

FIRM BROCHURE DATED: FEBRUARY 11, 2015 POSITIVE RETIREMENT OUTCOMES, LLC 116 MAIN STREET, SUITE 200 MEDWAY, MA 02053

FIRM BROCHURE DATED: FEBRUARY 11, 2015 POSITIVE RETIREMENT OUTCOMES, LLC 116 MAIN STREET, SUITE 200 MEDWAY, MA 02053 Item 1 Cover page FIRM BROCHURE DATED: FEBRUARY 11, 2015 POSITIVE RETIREMENT OUTCOMES, LLC 116 MAIN STREET, SUITE 200 MEDWAY, MA 02053 WWW.POSITIVERETIREMENTOUTCOMES.COM Contact: Brian D. Dillon, President

More information

Insurance. key contact. related professionals. related practices

Insurance. key contact. related professionals. related practices Insurance Our clients are active in every sector of the insurance industry, including life and financial lines, property and casualty, reinsurance, and title insurance. On their behalf, we handle complex

More information

Investment Management Regulation

Investment Management Regulation Investment Management Regulation Our Investment Management Division regulates investment companies (which include mutual funds) and investment advisers under two companion statutes, the Investment Company

More information

Form ADV Part 2A Brochure March 30, 2015

Form ADV Part 2A Brochure March 30, 2015 Item 1 Cover Page Form ADV Part 2A Brochure March 30, 2015 OneAmerica Securities, Inc. 433 North Capital Avenue Indianapolis, Indiana, 46204 Telephone: 877-285-3863, option 6# Website: www.oneamerica.com

More information

Item 1: Cover Page LLC. Firm Brochure - Form ADV Part 2A

Item 1: Cover Page LLC. Firm Brochure - Form ADV Part 2A Item 1: Cover Page Selective Wealth Management LLC Firm Brochure - Form ADV Part 2A This brochure provides information about the qualifications and business practices of Selective Wealth Management LLC.

More information

ERISA 408(b)(2) Retirement Plan Service Provider Disclosure Information

ERISA 408(b)(2) Retirement Plan Service Provider Disclosure Information ERISA 408(b)(2) Retirement Plan Service Provider Disclosure Information This information is being provided to you as the Plan Sponsor or other responsible fiduciary of a retirement plan ("Plan") subject

More information

State and Local Tax Practice

State and Local Tax Practice State and Local Tax Practice BakerHostetler s State and Local Tax team advises clients across the country with respect to complex state and local tax matters, including issues pertaining to income, sales

More information

EXCHANGE-TRADED FUNDS: What Fund Boards Need to Know when Considering ETFs

EXCHANGE-TRADED FUNDS: What Fund Boards Need to Know when Considering ETFs EXCHANGE-TRADED FUNDS: What Fund Boards Need to Know when Considering ETFs Stacy L. Fuller Peter J. Shea May 26, 2016 Copyright 2016 by K&L Gates LLP. All rights reserved. WHY BOARDS ARE DISCUSSING ETFS

More information

December 24, 2010. Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506

December 24, 2010. Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Ms. Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Proposed FINRA Disclosure Document Dear Ms. Asquith: The Investment Company Institute 1 appreciates

More information

Managing Conflicts of Interest. Michael Malone, Examination Manager, FINRA, Dallas District Office

Managing Conflicts of Interest. Michael Malone, Examination Manager, FINRA, Dallas District Office Managing Conflicts of Interest Michael Malone, Examination Manager, FINRA, Dallas District Office Michael Malone is an examination manager in FINRA s Dallas District Office. He began his career with FINRA

More information

Firm Brochure (Part 2A of Form ADV)

Firm Brochure (Part 2A of Form ADV) Firm Brochure (Part 2A of Form ADV) 275 Hill Street, Suite 210 Reno, NV 89501 PHONE: 775-674-2222 FAX: 775-348-8708 WEBSITE: www.nvretirementplanners.com EMAIL: info@nvretirementplanners.com This brochure

More information

Action: Notice of an application for an order under section 12(d)(1)(J) of the Investment

Action: Notice of an application for an order under section 12(d)(1)(J) of the Investment SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 30895; File No. 812-14182] The Ohio National Life Insurance Company, et al.; Notice of Application January 28, 2014 Agency: Securities

More information

Regulatory Notice 14-50: FINRA Requests Comment on a Proposal to Establish Payto-Play

Regulatory Notice 14-50: FINRA Requests Comment on a Proposal to Establish Payto-Play VIA ELECTRONIC MAIL Marcia E. Asquith Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 Re: Regulatory Notice 14-50: FINRA Requests Comment on a Proposal to Establish

More information

Compliance Review. SEC Requires Hedge Fund Managers to Register as Investment Advisers. Introduction. Rule Amendment

Compliance Review. SEC Requires Hedge Fund Managers to Register as Investment Advisers. Introduction. Rule Amendment Schwab Institutional Volume 14, Issue 3 May 2005 Ongoing Compliance Updates for Investment Advisors Compliance Review IN THIS ISSUE Introduction................................................. 1 Rule

More information

What is an Investment Adviser?

What is an Investment Adviser? What is an Investment Adviser? Legal Definition. Investment adviser is a legal term that appears in the Investment Advisers Act of 1940, the federal law that governs investment advisers. Generally, this

More information

Financial Services Practice

Financial Services Practice Financial Services Practice 488 Madison Avenue New York, NY 10022 Phone: (212) 661-6166 Fax: (212) 755-6748 www.grassicpas.com About our Financial Services Practice Given today s challenging and unprecedented

More information

The Role of the General Counsel in Corporate Strategy. Moderated by, Stephanie C. Evans May 19, 2016

The Role of the General Counsel in Corporate Strategy. Moderated by, Stephanie C. Evans May 19, 2016 The Role of the General Counsel in Corporate Strategy Moderated by, Stephanie C. Evans May 19, 2016 Agenda Overview Corporate Strategy Role of the Lawyer in Corporate Strategy Key Legal Inputs in Corporate

More information

Plenary: Compliance and Legal Trends Tuesday, May 24 4:15 p.m. 5:15 p.m.

Plenary: Compliance and Legal Trends Tuesday, May 24 4:15 p.m. 5:15 p.m. Plenary: Compliance and Legal Trends Tuesday, May 24 4:15 p.m. 5:15 p.m. Join us for a special session with senior leaders as they discuss key issues affecting the regulatory landscape. Panelists will

More information

Board Oversight of Exchange-Traded Funds

Board Oversight of Exchange-Traded Funds Board Oversight of Exchange-Traded Funds October 2012 Nothing contained in this paper is intended to serve as legal advice. Each investment company board should seek the advice of counsel for issues relating

More information

Walter A. Kapuscinski

Walter A. Kapuscinski Walter A. Kapuscinski Accomplishment and Employment Biography PART ONE: SECURITIES INDUSTRY ADVISORY AND CONSULTING EXPERIENCE Over forty years of progressive administrative, compliance, options, trading

More information

Anderson Financial Management, L.L.C. 3627 Stoneridge Road, No. 1 Austin, Texas 78746 (512) 327-4447. Date of Brochure: March 31, 2011

Anderson Financial Management, L.L.C. 3627 Stoneridge Road, No. 1 Austin, Texas 78746 (512) 327-4447. Date of Brochure: March 31, 2011 Item 1 Cover Page 3627 Stoneridge Road, No. 1 Austin, Texas 78746 (512) 327-4447 Date of Brochure: March 31, 2011 This brochure provides information about the qualifications and investment advisory business

More information

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 8750 / November 8, 2006 UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 54720 / November 8, 2006 INVESTMENT

More information

F I R M B R O C H U R E

F I R M B R O C H U R E Part 2A of Form ADV: F I R M B R O C H U R E Dated: 03/24/2015 Contact Information: Bob Pfeifer, Chief Compliance Officer Post Office Box 2509 San Antonio, TX 78299 2509 Phone Number: (210) 220 5070 Fax

More information

Investment Management FEBRUARY 2004

Investment Management FEBRUARY 2004 Investment Management FEBRUARY 2004 SEC Adopts Final Rules Mandating Compliance Programs for Investment Companies and Investment Advisers The Securities and Exchange Commission adopted new Rules under

More information

SECURITIES EXPERT WITNESS & LITIGATION SUPPORT, LLC

SECURITIES EXPERT WITNESS & LITIGATION SUPPORT, LLC Curriculum Vitae Introduction Over 30 years of experience with securities, investments, and insurance at the financial advisor, supervisory, and managing principal level. Conducted over 1,000 presentations,

More information

Susa Registered Fund, LLC and Susa Fund Management LLP; Notice of Application. AGENCY: Securities and Exchange Commission ( Commission ).

Susa Registered Fund, LLC and Susa Fund Management LLP; Notice of Application. AGENCY: Securities and Exchange Commission ( Commission ). This document is scheduled to be published in the Federal Register on 02/04/2016 and available online at http://federalregister.gov/a/2016-02065, and on FDsys.gov 8011-01p SECURITIES AND EXCHANGE COMMISSION

More information

Pillar Wealth Management, LLC. Client Brochure

Pillar Wealth Management, LLC. Client Brochure Pillar Wealth Management, LLC. Client Brochure This brochure provides information about the qualifications and business practices of Pillar Wealth Management, LLC.. If you have any questions about the

More information

REED SMITH LLP INVESTMENT ADVISER NEWS QUARTERLY UPDATE

REED SMITH LLP INVESTMENT ADVISER NEWS QUARTERLY UPDATE 4th Quarter 2004 REED SMITH LLP INVESTMENT ADVISER NEWS QUARTERLY UPDATE The Investment Adviser News features regulatory and other news items of interest to the investment management industry and investment

More information

Division of Swap Dealer and Intermediary Oversight

Division of Swap Dealer and Intermediary Oversight U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-6700 Facsimile: (202) 418-5528 gbarnett@cftc.gov Division of Swap Dealer

More information

FREQUENTLY ASKED QUESTIONS ABOUT BLOCK TRADE REPORTING REQUIREMENTS

FREQUENTLY ASKED QUESTIONS ABOUT BLOCK TRADE REPORTING REQUIREMENTS FREQUENTLY ASKED QUESTIONS ABOUT BLOCK TRADE REPORTING REQUIREMENTS Block Trades and Distributions What is a block trade? Many people use the term block trade colloquially. Technically, a block trade is

More information

FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings

FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings FINRA Regulation of Broker-Dealer Due Diligence in Regulation D Offerings EDWARD G. ROSENBLATT, MCGUIREWOODS LLP, WITH PRACTICAL LAW CORPORATE & SECURITIES This Note discusses broker-dealers' affirmative

More information

Municipal Securities 2:00 p.m. 3:15 p.m.

Municipal Securities 2:00 p.m. 3:15 p.m. Municipal Securities 2:00 p.m. 3:15 p.m. This session addresses regulatory developments with respect to both municipal securities broker-dealers and municipal advisors, including new, amended and proposed

More information

INSIGHT FINANCIAL ADVISORS 400 North Tustin Avenue, Suite 250 Santa Ana, CA 92705 (714) 541-1400 www.insightfa.com October 1, 2014

INSIGHT FINANCIAL ADVISORS 400 North Tustin Avenue, Suite 250 Santa Ana, CA 92705 (714) 541-1400 www.insightfa.com October 1, 2014 INSIGHT FINANCIAL ADVISORS 400 North Tustin Avenue, Suite 250 Santa Ana, CA 92705 (714) 541-1400 www.insightfa.com October 1, 2014 This Brochure provides information about the qualifications and business

More information

Action: Notice of an application under section 6(c) of the Investment Company Act of 1940 (the

Action: Notice of an application under section 6(c) of the Investment Company Act of 1940 (the SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. IC-31092; 812-14305] College Retirement Equities Fund, et al.; Notice of Application June 23, 2014 Agency: Securities and Exchange

More information

Study on Investment Advisers and Broker-Dealers

Study on Investment Advisers and Broker-Dealers Study on Investment Advisers and Broker-Dealers As Required by Section 913 of the Dodd-Frank Wall Street Reform and Consumer Protection Act This is a Study of the Staff of the U.S. Securities and Exchange

More information

Pillar Wealth Management, LLC. Client Brochure

Pillar Wealth Management, LLC. Client Brochure Pillar Wealth Management, LLC. Client Brochure This brochure provides information about the qualifications and business practices of Pillar Wealth Management, LLC.. If you have any questions about the

More information

Dennis Matthew Breier d/b/a Fairwater Wealth Management

Dennis Matthew Breier d/b/a Fairwater Wealth Management Item 1 Cover Page Dennis Matthew Breier d/b/a Fairwater Wealth Management Registered Investment Adviser 16W455 S. Frontage Road, Suite 311 Burr Ridge, Illinois 60527 (630) 282-6520 phone (630) 282-6520

More information

Key Points about DOL s Proposed Fiduciary Definition

Key Points about DOL s Proposed Fiduciary Definition REPRINTED FROM DC DIMENSIONS WINTER 2016 Key Points about DOL s Proposed Fiduciary Definition By Ian Kopelman, Chair, Employee Benefits and Executive Compensation Practice Group, and Joseph Hugg, Of Counsel,

More information

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 DIVISION OF TRADING AND MARKETS December 23,2013 Holly H. Smith Sutherland Asbill & Brennan LLP 700 Sixth Street, NW, Suite 700 Washington,

More information

Hewitt Financial Services Self-Directed Brokerage Account (SDBA)

Hewitt Financial Services Self-Directed Brokerage Account (SDBA) invest in you Enrollment Guide Brokerage Account (SDBA) Savings Plus offers a self-directed brokerage account option for investors who may want to direct investments to a wider variety of options other

More information

Private Fund Advisers: Compliance Oversight of Third-Party Administrators

Private Fund Advisers: Compliance Oversight of Third-Party Administrators Citi OpenInvestor SM Private Fund Advisers: Compliance Oversight of Third-Party Administrators By: Regulatory Administration and Compliance Support Services, Citi Introduction Private equity and hedge

More information

Cambridge Investment Research Advisors, Inc. 1776 Pleasant Plain Road Fairfield, IA 52556 800-777-6080 www.cir2.com. Date of Brochure: September, 2013

Cambridge Investment Research Advisors, Inc. 1776 Pleasant Plain Road Fairfield, IA 52556 800-777-6080 www.cir2.com. Date of Brochure: September, 2013 Item 1 - Cover Page 1776 Pleasant Plain Road Fairfield, IA 52556 800-777-6080 www.cir2.com Date of Brochure: September, 2013 This brochure provides information about the qualifications and business practices

More information

TERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT 1. MODEL PORTFOLIOS PROGRAM

TERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT 1. MODEL PORTFOLIOS PROGRAM TERMS AND CONDITIONS MODEL PORTFOLIOS INVESTMENT ADVISORY CLIENT AGREEMENT This Investment Advisory Client Agreement ( Agreement ) is entered into by and between Woodbury Financial Services, Inc., a registered

More information

Role of the Independent Fiduciary. Samuel W. Halpern Area Executive Vice President (Ret.) Institutional Investment & Fiduciary Services

Role of the Independent Fiduciary. Samuel W. Halpern Area Executive Vice President (Ret.) Institutional Investment & Fiduciary Services Samuel W. Halpern Area Executive Vice President (Ret.) Institutional Investment & Services In recent years, the combination of the Enron/WorldCom/Global Crossing disasters, passage of the Sarbanes-Oxley

More information

INVESTORS ADVISORY GROUP, LLC

INVESTORS ADVISORY GROUP, LLC Item 1 - Cover Page INVESTORS ADVISORY GROUP, LLC FORM ADV PART 2A INFORMATION March 10, 2016 Investors Advisory Group, LLC N19 W24200 Riverwood Drive, Suite 150 Waukesha, WI 53188 Phone (262) 446-8150

More information

Financial Planning Services

Financial Planning Services UBS Financial Services Inc. SEC File Number 801-7163 1000 Harbor Boulevard March 31, 2015 Weehawken, NJ 07086 (201)352-3000 http://financialservicesinc.ubs.com Financial Planning Services This brochure

More information

A Focus on Broker-Dealer Challenges

A Focus on Broker-Dealer Challenges Conflicts in a Rapidly Changing Fiduciary Landscape Part One: A Focus on Broker-Dealer Challenges Contents Breaking Down the Issues Around Common Broker-Dealer Practices...1 Potential Conflict: Sales of

More information

Mutual Fund Directors

Mutual Fund Directors ICI Investor Awareness Series Understanding the Role of Mutual Fund Directors INVESTMENT COMPANY INSTITUTE Understanding the Role of Mutual Fund Directors Protecting Investors...........................................3

More information

IX 1.1. IX. Retail Sales Investments. Retail Investment Sales. Introduction. Supervisory Responsibility

IX 1.1. IX. Retail Sales Investments. Retail Investment Sales. Introduction. Supervisory Responsibility Retail Investment Sales Introduction These compliance examination procedures and guidance apply to retail recommendations or sales of securities by, on behalf of, or on the premises of FDIC supervised

More information

ADV Part 2A Firm Brochure

ADV Part 2A Firm Brochure ADV Part 2A Firm Brochure Alpha Asset Consulting LLC 191 University Boulevard #334 Denver, Colorado 80206 Phone: 303.321.3837 Fax: 303.484.6887 Email: info@alpha-llc.com Website: www.alpha-llc.com Brochure

More information

Substantive Requirements for a Registered Investment Adviser under the U.S. Investment Advisers Act of 1940

Substantive Requirements for a Registered Investment Adviser under the U.S. Investment Advisers Act of 1940 Substantive Requirements for a Registered Investment Adviser under the U.S. Investment Advisers Act of 1940 Alternative investment fund managers and other investment advisory firms that are registered

More information

Registration and Regulation of Investment Advisers. Presented by Chris Salter

Registration and Regulation of Investment Advisers. Presented by Chris Salter Registration and Regulation of Investment Advisers Presented by Chris Salter Investment Adviser Registration 2 Overview Registering with the SEC will have a significant impact on the business and operations

More information

Bollinger. Capital Management

Bollinger. Capital Management Bollinger, Inc. 1200 Aviation Blvd. Suite 201 Redondo Beach, CA 90278 310-798-8855 www.bollingercapital.com Investment Advisor Brochure (Form ADV Part 2A) Updated December 2015 Item 1 Cover Page This Brochure

More information

Firm Brochure (Part 2A of Form ADV)

Firm Brochure (Part 2A of Form ADV) Firm Brochure (Part 2A of Form ADV) 7017 Hickman Road Urbandale, IA 50322 PHONE: 515-279-1400 FAX: 515-274-0990 EMAIL: staff@srmltd.com This brochure provides information about the qualifications and business

More information

SUMMARY PROSPECTUS. BlackRock Liquidity Funds Select Shares California Money Fund Select: BCBXX FEBRUARY 29, 2016

SUMMARY PROSPECTUS. BlackRock Liquidity Funds Select Shares California Money Fund Select: BCBXX FEBRUARY 29, 2016 FEBRUARY 29, 2016 SUMMARY PROSPECTUS BlackRock Liquidity Funds Select Shares California Money Fund Select: BCBXX Before you invest, you may want to review the Fund s prospectus, which contains more information

More information

HOMETOWN Financial Planning and Asset Management

HOMETOWN Financial Planning and Asset Management Part 2A of Form ADV: Firm Brochure HOMETOWN Financial Planning and Asset Management Terry Nelson, CFP TM MS 1957 Lake Street Roseville, MN 55113 terry@hometownfp.com www.hometownfp.com (651) 638-9428 Fax:

More information

Danison & Associates, Inc. 2150 Tremont Center Columbus, Ohio 43221 (614)-487-6040 March 31, 2011

Danison & Associates, Inc. 2150 Tremont Center Columbus, Ohio 43221 (614)-487-6040 March 31, 2011 Item 1 Cover Page Danison & Associates, Inc. 2150 Tremont Center Columbus, Ohio 43221 (614)-487-6040 March 31, 2011 This Brochure provides information about the qualifications and business practices of

More information

February 10, 2014. Melissa D. Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21 st Street, NW Washington, DC 20581

February 10, 2014. Melissa D. Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21 st Street, NW Washington, DC 20581 Melissa D. Jurgens Secretary Commodity Futures Trading Commission Three Lafayette Centre 1155 21 st Street, NW Washington, DC 20581 Re: Aggregation of Positions (RIN 3038-AD82) Dear Ms. Jurgens: The Investment

More information

Head Traders, Technical Contacts, Compliance Officers, Heads of ETF Trading, Structured Products Traders. Exchange-Traded Fund Symbol CUSIP #

Head Traders, Technical Contacts, Compliance Officers, Heads of ETF Trading, Structured Products Traders. Exchange-Traded Fund Symbol CUSIP # Information Circular: Rydex ETF Trust To: From: Head Traders, Technical Contacts, Compliance Officers, Heads of ETF Trading, Structured Products Traders BX Listing Qualifications Department DATE: January

More information

CHARTER FOR THE THE REGULATORY, COMPLIANCE & GOVERNMENT AFFAIRS COMMITTEE CHARTER THE BOARD OF DIRECTORS

CHARTER FOR THE THE REGULATORY, COMPLIANCE & GOVERNMENT AFFAIRS COMMITTEE CHARTER THE BOARD OF DIRECTORS CHARTER FOR THE THE REGULATORY, COMPLIANCE & GOVERNMENT AFFAIRS COMMITTEE CHARTER OF THE BOARD OF DIRECTORS OF Copyright/permission to reproduce Materials in this document were produced or compiled by

More information

MidAmerica Nazarene University, Olathe, KS Business Administration

MidAmerica Nazarene University, Olathe, KS Business Administration Website: www.core-cco.com E-Mail: kgarber@core-cco.com Education M.B.A. University of Missouri, Columbia, MO Finance B.A. MidAmerica Nazarene University, Olathe, KS Business Administration Experience CORE-CCO,

More information

NET WORTH ADVISORY GROUP. Registered Investment Advisor

NET WORTH ADVISORY GROUP. Registered Investment Advisor NET WORTH ADVISORY GROUP Registered Investment Advisor Form ADV Part 2A Investment Advisor Brochure NET WORTH ADVISORY GROUP, LLC Form ADV Part 2A Investment Advisor Brochure Name of Registered Investment

More information

Waterstone Advisors, LLC

Waterstone Advisors, LLC ITEM 1 COVER PAGE Firm Brochure (Form ADV Part 2A) 10 Brook Street Walpole, MA 02081 978-828-2188 vha@waterstoneadvisors.net March 18, 2014 This brochure provides information about the qualifications and

More information

2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323

2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323 Part 2A of Form ADV: Firm Brochure Item 1 Cover Page 2900 McKinnon, Apt #1708 Dallas, TX 75201 800-829-7273 www.johnmauldin.com IARD#114323 This brochure provides information about the qualifications and

More information