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52![For UBS marketing purposes. Not for further distribution. For Professional Clients/Institutional Investors and Eligible Counterparties only. Managed performance. Trading actively managed certificates on UBS Neo For UBS marketing purposes. Not for further distribution. For Professional Clients/Institutional Investors and Eligible Counterparties only. Managed performance. Trading actively managed certificates on UBS Neo](https://www.pdfsearch.io/img/a7f4b48a0372f7ec91dcdb399e229388.jpg) | Add to Reading ListSource URL: about-neo.ubs.comLanguage: English - Date: 2016-07-24 13:26:57
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54![January 5, 2016 Introduction FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts January 5, 2016 Introduction FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts](https://www.pdfsearch.io/img/3b5c47eac1bd5921876e66e8847dbaf0.jpg) | Add to Reading ListSource URL: www.finra.orgLanguage: English - Date: 2016-01-04 17:32:29
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58![Rules Relating to Accounts Introduced by Other Brokers or Dealers 17 C.F.R. §§Adopted October 1978 Rules Relating to Accounts Introduced by Other Brokers or Dealers 17 C.F.R. §§Adopted October 1978](https://www.pdfsearch.io/img/88362445567ce73d68601092dc38e2cc.jpg) | Add to Reading ListSource URL: www.sipc.comLanguage: English - Date: 2016-07-05 15:13:24
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59![Statement of Financial Condition In accordance with requirements of the Securities and Exchange Commission (the “SEC”) under SEC Rule 17a-5, the audited Statement of Financial Condition as of December 31, 2012 of BNP Statement of Financial Condition In accordance with requirements of the Securities and Exchange Commission (the “SEC”) under SEC Rule 17a-5, the audited Statement of Financial Condition as of December 31, 2012 of BNP](https://www.pdfsearch.io/img/72e4f7b9fb9e238beff04257b8393134.jpg) | Add to Reading ListSource URL: primebroker.comLanguage: English - Date: 2015-08-27 11:43:46
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60![CLIENT SUCCESS STORY INSTITUTIONAL BROKER DEALER SELECTS KeepItSafe TO COMPLY WITH INDUSTRY REGULATIONS Trusts and recommends KeepItSafe for proactive service and experience in the brokerage industry. CLIENT SUCCESS STORY INSTITUTIONAL BROKER DEALER SELECTS KeepItSafe TO COMPLY WITH INDUSTRY REGULATIONS Trusts and recommends KeepItSafe for proactive service and experience in the brokerage industry.](https://www.pdfsearch.io/img/d44f8abe3f5f15558fb7c793a89834cb.jpg) | Add to Reading ListSource URL: www.keepitsafe.comLanguage: English - Date: 2016-08-18 06:15:35
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