GS0361: Financial services, namely, investment advice, investment management, investment consultation and investment of funds for others; Financial services, namely, providing brokerage, distribution, and investment management services for mutual funds and commingled trusts, and retirement accounts; investment brokerage and management services, financial asset management services, and investment consultation services for institutional investors; investment tracking and investment analysis services for others; providing financial news and information to institutional investors and financial advisors about investing, investments, financial strategies and planning, asset management, educational savings, and retirement planning
Case File Event Statements
4/2/2024 - 10 months ago
14 - COURTESY REMINDER - SEC. 8 (6-YR) E-MAILEDType:REM1
4/2/2019 - 5 years ago
13 - REGISTERED-SUPPLEMENTAL REGISTERType:R.SR
2/22/2019 - 5 years ago
12 - LAW OFFICE PUBLICATION REVIEW COMPLETEDType:PREV
2/15/2019 - 6 years ago
11 - ASSIGNED TO LIEType:ALIE
1/30/2019 - 6 years ago
10 - APPROVED FOR REGISTRATION SUPPLEMENTAL REGISTERType:CNTA
1/29/2019 - 6 years ago
9 - TEAS/EMAIL CORRESPONDENCE ENTEREDType:TEME
1/28/2019 - 6 years ago
8 - CORRESPONDENCE RECEIVED IN LAW OFFICEType:CRFA
1/28/2019 - 6 years ago
7 - TEAS RESPONSE TO OFFICE ACTION RECEIVEDType:TROA
1/3/2019 - 6 years ago
6 - NOTIFICATION OF NON-FINAL ACTION E-MAILEDType:GNRN
1/3/2019 - 6 years ago
5 - NON-FINAL ACTION E-MAILEDType:GNRT
1/3/2019 - 6 years ago
4 - NON-FINAL ACTION WRITTENType:CNRT
12/26/2018 - 6 years ago
3 - ASSIGNED TO EXAMINERType:DOCK
11/27/2018 - 6 years ago
2 - NEW APPLICATION OFFICE SUPPLIED DATA ENTEREDType:NWOS