Registration History. 7. The Respondent was registered in the mutual fund industry commencing in or about 1998.
Appears in 1 contract
Samples: Settlement Agreement
Registration History. 7. The Since November 1998, the Respondent was has been registered in the mutual fund industry commencing in or about 1998industry.
Appears in 1 contract
Samples: Settlement Agreement
Registration History. 76. The Respondent was has been registered in the mutual fund industry commencing in or about 1998since April 2000.
Appears in 1 contract
Samples: Settlement Agreement
Registration History. 76. The Respondent was has been registered in the mutual fund industry commencing in or about 1998since January 1995.
Appears in 1 contract
Samples: Settlement Agreement