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or any of its members the state and provincial securities regulators If you have questions concerning the meaning or application of a particular state law or rule or regulation or a NASAA model rule. Market Efficiency. Presenter. Venue. Date. Definition of an Efficient Market. Factors Affecting Market Efficiency. Active versus Passive Investment Strategies. Factors Affecting a Market’s Efficiency. OPTIONAL MODULE: LARGE-SCALE ACQUISITION OF LAND RIGHTS. June. 2013. LSLA 1. Most . forest land is mapped and rights are registered. . Assessment. A – More than 70% of the area under forest land has boundaries demarcated and surveyed and associated claims registered. . Sébastien. POUGET. Toulouse School of Economics. . . . . Co-. director. of the . research. center on . Sustainable. Finance and . Responsible. . Invesments. Chaire « Finance Durable et Investissement Responsable ». (Amended and Restated UFOC Guidelines) On January 23, 2007, the Federal Trade Commission (“FTC”) adopted a final amended Franchise Rule (“Amended FTC Franchise Rule”). 16 C.F.R. Pa Department of Regulatory Agencies. March 13, 2015. David B. Swafford. Chief Examiner. Financial Planning Association. of Colorado. The Examination:. To Fear Or Not to Fear. Gerald Rome. Securities Commissioner. By Nancy Boudreaux. Investor Education Trainer. Louisiana. . O. ffice of . F. inancial . I. nstitutions. Guard Rails. Protecting Your Community . From . Investment Fraud. 3. A system designed to . keep . July 2011. Confidential. 2. Proposed BX Venture Market. The SEC has approved a proposal by NASDAQ OMX Group to create a new listing venue on the former Boston Stock Exchange, which will have more flexible quantitative listing standards, but require companies to comply with many of the qualitative requirements for listing on other securities exchanges. May 2, 2014. St. Louis, Missouri. Andrea Seidt . Joseph . Brady. NASAA President . . NASAA General Counsel. Ohio Securities Commissioner. The Changing Face of . Presented by. Carmen Hirciag, MBA. Senior Research Analyst. Survey Methodology. 379 online surveys conducted in February-March 2015. Respondents: REALTORS® who have worked with investors in past 12 months (February/March 2014 – February/March 2015). Investment Adviser Switch Update. Topics. Update on the timeline for the switch by mid-sized investment advisers.. NASAA’s investment adviser coordinated review program.. IARD programming update.. NASAA proposed exemption for private fund advisers.. PRESENTED BY:. . Patricia Marshall, . PwC. Jennifer McCracken, . BDO Canada Limited. Jonathan Ross, . Gowling. WLG. Topics- Table of Contents. Who are the players?. Why is there conflict?. Common areas of conflict. May 13, 2009. Keys to Future Stability and Growth: Institutional Investors and Regulation. Outline. Some basic concepts/lessons from the current crisis. Traditional roles of institutional investors and asset managers. Luca Enriques. Oxford University. GCGC Colloquium 2015. Stanford Law School. 1. Introduction. Motivation. Innovation thought to drive growth, jobs. ‘Disruption’ – innovation + impact . Policymakers want to stimulate innovation because of these good things. NASAA 2014 Investor Education Training May 2, 2014 St. Louis, Missouri Andrea Seidt Joseph Brady NASAA President NASAA General Counsel Ohio Securities Commissioner The Changing Face of Investment Products & Opportunities: Alternative