PPT-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 . Regional components measure separately the risk appetites of institutional investors in North America Europe and The AsiaPacific region The index is published at 1000 local time in Boston USA on the last Tuesday of each month TH P REMISE Confidence What is a corporate bond A bond is a debt obligation like an IOU Investors who buy corporate bonds are lending money to the company issuing the bond In return the company makes a legal commitment to pay interest on the principal and in most cases to The rules concern three separate nonbinding shareholder votes on executive compensation x SayonPay Votes The new rule requires public companies subject to the proxy rules to provide their shareholders with an advisory vote on the compensation of the 2013 2013 2013 2013 2014 2014 2014 2014 2014 2014 2014 2014 Sept Oct Nov Dec Jan Feb Mar April May June July August Bulls Slaughtered 395,3 389,8 404,1 383,1 374,0 339,9 365,2 378,6 412,5 390,4 361,2 (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 Khaitan & Co LLP. IVCA . Masterclass. |. New Delhi. |. 17 December . 2013. Special Focus on PE/VC and M&A. Impact on Term Sheets & Investments. Background. Company:. . XYZ Limited (public unlisted). 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 . Visas for Foreigners. 2. 3. Planning from the start. Main issues your clients should be aware of:. US Taxes. Immigration. Taxes in U.S.. Most foreigners can be taxed on their worldwide income, regardless of their immigration status. www.investor.gov INVESTOR ALERT Advertising for Unregistered Securities Oerings e SEC’s Oce of Investor Education and Advocacy is issuing this Investor Alert to educate individual investors a 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. SIP. Promote Feature. No. Yes. Collateral Location. Dispersed. Concentrated. Management Fee. 0.5% UPB. 1.0% UPB. Small Investor Program. Comparison with Multi-bank . Structure. The Investor Match Program was developed to encourage and facilitate interaction between small and MWO investors, asset managers and large investors to bring sources of capital together with the expertise needed to participate in structured sales programs. . Joint Web CRD/IARD Forum. Overview: Revisions to . Form ADV Part 1B*. *These slides provide an overview to some of the revisions to Form ADV Part 1B, but are not intended to provide a comprehensive presentation of the revisions. Please consult the revised Form ADV Part 1B to see the totality of the revisions. . 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 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