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23 Publications Found
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06/08/05
Broker-Dealers’ New Supervisory Control Rules: Bank Insurance & Securities Association, presented at the 2005 BISA Regulatory & Compliance Conference, Washington, D.C.
Presentation | Speech
Beth Kiesewetter
January 2005
The Pitfalls of Performance-Based Fees: Lessons Learned from Bridgeway Capital Management, The Investment Lawyer
Outside Publications | Article
Monica Parry,
Ryan Helmrich
09/08/03
Brave New World For Compliance Officers?;
IA Week Fall Compliance Conference, Philadelphia
Presentation | Speech
W. McGuire
11/08/02
Investment Adviser Act Matters; ICAA Compliance Workshop, Chicago
Presentation | Speech
W. McGuire
02/09/01
Investment Adviser Books and Records, presented at NRS Basic Training, New York
Presentation | Speech
W. McGuire
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