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Periodical

The ERISA Mystery Part II: Model Portfolios in Participant-Directed Plans.

Subjects: *Disclosure in accounting; *Financial disclosure; Employee Retirement Income Security Act of 1974 (U.S.)

  • Source: Investment Advisor. Dec2014, Vol. 34 Issue 12, p59-59. 1p.

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Periodical

The ERISA Mystery.

Subjects: *Legal compliance; *Investment advisors; *401(k) plansUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. Nov2014, Vol. 34 Issue 11, p67-67. 1p.

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Periodical

The SEC and E-Signatures.

Subjects: *Investment advisors; *Government agencies; *Commercial lawUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. Oct2014, Vol. 34 Issue 10, p66-66. 1p.

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Periodical

The SEC Is Getting Into the Weeds.

Subjects: *Examinations; *Custodial accounts; *Asset protectionUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. Sep2014, Vol. 34 Issue 9, p82-82. 1p.

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Periodical

Personal Securities Reporting–Push Back at Your Peril.

Subjects: *Investment advisors; *Securities; *Financial statementsUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. Aug2014, Vol. 34 Issue 8, p58-58. 1p.

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Periodical

Cybersecurity--The SEC's Critical Initiative.

Subjects: Internet security; Investment advisors -- United States; Brokers -- United StatesUnited States. Securities & Exchange Commission. Office of Compliance Inspections & Examinations

  • Source: Investment Advisor. Jul2014, Vol. 34 Issue 7, p55-55. 1p.

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Periodical

SEC Releases Guidance on Social Media Testimonials.

Subjects: *Social media in business; *Management; *Financial services industryUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. Jun2014, Vol. 34 Issue 6, p80-80. 1p.

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Periodical

The Municipal Advisor Law and Its Implications.

Subjects: *Municipal finance; *Financial security; Dodd-Frank Wall Street Reform & Consumer Protection ActUnited StatesUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. May2014, Vol. 34 Issue 5, p67-67. 1p.

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Periodical

Private Funds: Are You a "Knowledgeable Employee"?

Subjects: *Executives; *Corporate directors; *General partnershipUnited StatesUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. Apr2014, Vol. 34 Issue 4, p63-63. 1p.

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Periodical

Did You Miss the Deadline on SEC's Reg S-ID?

Subjects: *Investment advisors; *Asset management accounts; Identity theft preventionUnited States. Securities & Exchange Commission

  • Source: Investment Advisor. Mar2014, Vol. 34 Issue 3, p59-59. 1p.

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  • 1-10 of  12 results for ""Giachetti, Thomas D.""