SARP

Owners

Goods & Services

Fund investment and advisory services marketed and sold to institutional investors or through financial intermediaries, namely, investment advisors and broker-dealers, and which do not seek to maintain compliance with the statutory/tax requirements of retirement plans; Investment counseling services marketed and sold to institutional investors or through financial intermediaries, namely, investment advisors and broker-dealers, and which do not seek to maintain compliance with the statutory/tax requirements of retirement plans; Management of portfolios comprising securities marketed and sold to institutional investors or through financial intermediaries, namely, investment advisors and broker-dealers, and which do not seek to maintain compliance with the statutory/tax requirements of retirement plans; Mutual fund investment, administration, distribution, brokerage, and investment advisory services, marketed and sold to institutional investors or through financial intermediaries, namely, investment advisors and broker-dealers, and which do not seek to maintain compliance with the statutory/tax requirements of retirement plans; Financial services, namely, administration of transactions by funds involving securities, stocks, funds, equities, bonds, notes, cash, or other types of financial investments, marketed and sold to institutional investors or through financial intermediaries, namely, investment advisors and broker-dealers, and which do not seek to maintain compliance with the statutory/tax requirements of retirement plans; Investment management services with respect to mutual funds, pension accounts, institutional accounts, and separate accounts, marketed and sold to institutional investors or through financial intermediaries, namely, investment advisors and broker-dealers, and which do not seek to maintain compliance with the statutory/tax requirements of retirement plans