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771	THE #1 Broker-Dealer for RIAs IMAGINE DOING YOUR BUSINESS HERE #1 Friendliest Broker-Dealer For RIAs Investment Advisor Magazine, June[removed]Years In A Row #2 in Alternative Percentage Revenue Growth InvestmentNews, A Add to Reading List Source URL: www.triad-advisors.com Language: English - Date: 2014-06-10 13:21:03 Investment Advisor Financial adviser Financial economics Money Ameriprise Financial Ladenburg Thalmann Finance Financial Advisor Business
772	The Securities and Exchange Commission Issues Proposal to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets and Requests Comments Add to Reading List Source URL: www.protiviti.co.uk Language: English - Date: 2014-10-23 15:04:51 Financial markets Financial services 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Presidency of Barack Obama Systemic risk Broker-dealer Short U.S. Securities and Exchange Commission Financial economics Finance Business
773	South Carolina Code of Regulations[removed]Criminal Record Requirement for Broker-Dealer Agents and Investment Adviser Representatives. Pursuant to Section[removed]a)(2), every person applying for registration as a bro Add to Reading List Source URL: www.scag.gov - Date: 2014-05-07 11:06:39
774	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 31, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-31 15:21:56 Financial economics Financial regulation Financial system Securities Exchange Act Securities Act Broker-dealer U.S. Securities and Exchange Commission Registered representative Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
775	South Carolina Code of Regulations[removed]Use of the NASD CRD and IARD to Receive Certain Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Other Forms and Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial adviser Investment Uniform Securities Act Business Federal Reserve System Office of the Kansas Securities Commissioner Registered Investment Advisor United States securities law Finance Financial economics
776	Case 2:14-cv[removed]FSH-MAH Document 1 Filed[removed]Page 1 of 23 PageID: 1 Cheryl L. Crumpton Kyle M. DeYoung Attorneys for Plaintiff Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-07 14:17:02 Investment Broker-dealer Securities Exchange Act Trading room Short Security Futures contract Financial economics Finance Financial markets
777	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 2, 2014 ACCOUNTING AND AUDITING ENFORCEMENT Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-07-02 12:10:00 United States Securities and Exchange Commission Financial system Securities Exchange Act U.S. Securities and Exchange Commission Finance Broker-dealer United States securities law Financial economics 73rd United States Congress
778	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]August 7, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to A Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-08 07:51:34 Finance United States securities law United States Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Market maker New York Stock Exchange Broker-dealer International Securities Exchange Financial markets Financial economics Financial system
779	Small Business Advisory: Crowdfunding On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:59 Crowd funding Securities offering U.S. Securities and Exchange Commission Securities regulation in the United States Financial adviser Securities fraud Broker-dealer Regulation D Office of the Kansas Securities Commissioner Financial economics Finance Business
780	Page 24 of 59 Exhibit 3a SR-FINRA[removed]General Securities Principal Qualification Examination Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 08:24:10 Financial system Registered Investment Advisor Financial Industry Regulatory Authority Registered representative Securities Exchange Act Financial adviser Self-regulatory organization Broker-dealer General Securities Principal Exam United States securities law Financial economics Finance

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