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801	Microsoft Word - Nomura Meeting Summary (August 12, 2014) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-15 11:04:22 Finance Nomura Securities Co. Broker-dealer U.S. Securities and Exchange Commission Security Financial economics Investment Investment banks
802	Microsoft Word - M1 MEMBERSHIP APPLICATION CHECKLIST.doc Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2014-02-06 15:04:38 Financial system Investment Chicago Stock Exchange Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission International Securities Exchange Stock exchange Broker-dealer United States securities law Self-regulatory organizations Financial economics
803	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]August 5, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiven Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 08:24:07 Finance Financial Industry Regulatory Authority General Securities Principal Exam Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Investment Banking Exam Selling away United States securities law Financial economics Financial system
804	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA In the matter of Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:50 United States securities law Financial services Financial adviser Investment Registered representative U.S. Securities and Exchange Commission Investment Advisor Broker-dealer Federal Reserve System Finance Financial economics Business
805	Microsoft Word - BYX - RETAIL MEMBER ORGANIZATION APPLICATION.docx Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2014-10-13 14:33:48 Investment Broker-dealer Fixed income market Order Beta Upsilon Chi Financial economics Business Financial markets
806	Microsoft Word - BYX_MEMBERSHIP_APPLICATION_AGREEMENTS.doc Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2014-02-07 11:08:46 Financial system Investment Chicago Stock Exchange Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission International Securities Exchange Stock exchange Broker-dealer United States securities law Self-regulatory organizations Financial economics
807	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 1, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-08-01 13:31:23 Finance Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Registered representative United States securities law Financial economics Financial system
808	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 31, 2013 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2013-07-31 12:22:18 Financial markets Investment 76th United States Congress Investment Advisers Act Financial adviser Registered Investment Advisor Investment Advisor Gim Broker-dealer Finance Financial economics Business
809	BEFORE THE COMMISSIONER OF COMMERCE AND INSURANCE FOR THE STATE OF TENNESSEE TENNESSEE SECURITIES DIVISION, Petitioner, ) Add to Reading List Source URL: www.tn.gov Language: English - Date: 2013-02-13 10:37:41 Broker Citigroup Investment Finance Financial economics Broker-dealer Fixed income market
810	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: JGO Financial and Shawn Wheeland, Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:03 United States securities law 73rd United States Congress United States Securities and Exchange Commission Registered Investment Advisor Security Securities Act Financial adviser Investment Advisor Broker-dealer Financial economics Finance Business

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