Found 825 results for “regulatory” in 61ms

EFTA01369913.pdf PDF

DataSet-10 EFTA01369913 1 pg

and other regulatory matters: absence of litigation: real property; intellectual property matters, including software. IT systems, and data privacy: tax matters; employee benefit plan matters; labor and employment matters: environmental matters; material contracts: finders' and brokers' fees and expenses: the…

EFTA01383750.pdf PDF

DataSet-10 EFTA01383750 1 pg

and other regulatory matters: absence of litigation: real property; intellectual property matters, including software. IT systems, and data privacy: tax matters; employee benefit plan matters; labor and employment matters: environmental matters; material contracts: finders' and brokers' fees and expenses: the…

EFTA01354485.pdf PDF

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GLOUS143 Henry Nicholas Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01386731.pdf PDF

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GLDUS238 SOUTHERN FINANCIAL LLC Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events…

EFTA01354054.pdf PDF

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GLDUS183 Dimension Capital Management Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events…

EFTA01355597.pdf PDF

DataSet-10 EFTA01355597 1 pg

GLDUStal Greg Martin Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01354916.pdf PDF

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GLIDUSi26 Gerald Ford Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01383185.pdf PDF

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GLDUS238 SOUTHERN FINANCIAL LLC Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events…

EFTA01394416.pdf PDF

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GLDUS1 29 OF Enterprises Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events…

EFTA01364918.pdf PDF

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GLDUS238 SOUTHERN FINANCIAL LLC Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events…

EFTA01389999.pdf PDF

DataSet-10 EFTA01389999 1 pg

GLDUS132 EverWatch Financial Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01391576.pdf PDF

DataSet-10 EFTA01391576 1 pg

GLDUS124 BBR Partners Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01389573.pdf PDF

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GLDUS133 Georgetown University Endowment Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events…

EFTA01390982.pdf PDF

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GLDUS113 Cliff Meg Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01392251.pdf PDF

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GLOUS144 Glenn Warren Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01394811.pdf PDF

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GLDUS140 Lawrence Hirsch Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin Events": On…

EFTA01355119.pdf PDF

DataSet-10 EFTA01355119 1 pg

GLDUS126 Pacific Life Insurance Co Changes to Certain Regulatory Matters The section of the Memorandum under the heading "Certain Regulatory Matters" is hereby amended by adding the following immediately after the second paragraph in the risk factor titled "MandatedDisclosure ofCertnin…

EFTA01461858.pdf PDF

DataSet-10 EFTA01461858 1 pg

27 June 2014 Airlines The View (from 35,000 feet) Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.comlequities under the "Disclosures Lookup- and "Legal…

EFTA01461875.pdf PDF

DataSet-10 EFTA01461875 1 pg

27 June 2014 Airlines The View (from 35,000 feet) Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.comlequities under the "Disclosures Lookup- and "Legal…

EFTA01447949.pdf PDF

DataSet-10 EFTA01447949 1 pg

27 June 2014 Airlines The View (from 35,000 feet) Regulatory Disclosures 1. Important Additional Conflict Disclosures Aside from within this report, important conflict disclosures can also be found at https://gm.db.comlequities under the "Disclosures Lookup- and "Legal…

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