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Searching Content indexed under Financial Services by Catherine M. Anderson ordered by Published Date Descending.
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Form SHL: Report of Foreign Residents' Holdings of U.S. Securities Due August 30, 2019
Investment advisers, hedge and private fund managers and U.S.-resident entities should review whether they have any filing obligations under Treasury International Capital ("TIC")
United States
19 Aug 2019
2
Amendment To The Annual Privacy Notice Delivery Obligations Of Financial Institutions Under The Gramm-Leach-Bliley Act Contained In The FAST Act
On December 4, 2015, President Obama signed the Fixing America's Surface Transportation Act (the ‘‘FAST Act'') into law.
United States
12 Jan 2016
3
Bureau Of Economic Analysis (BEA) Issues New Form BE-180 For U.S. Financial Services Providers Including Investment Advisers
Now that the dust has settled a little on the BE-10 benchmark survey responses, U.S. financial service providers, including investment advisers...
United States
7 Oct 2015
4
SEC Grants Extension of Compliance Date for Delivery of Part 2B of Form ADV
On December 28, 2010, the Securities and Exchange Commission (the "SEC") granted an extension to the deadline for complying with certain portions of the new Part 2, Form ADV requirements.
United States
6 Jan 2011
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