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#	Item
811	RULES OF THE TENNESSEE DEPARTMENT OF FINANCIAL INSTITUTIONS CHAPTER[removed]RULES OF PROCEDURE FOR INVESTMENTS AND ACTIVITIES FOR STATE-CHARTERED BANKS AND THEIR SUBSIDIARIES Add to Reading List Source URL: state.tn.us Language: English - Date: 2013-01-02 12:26:25 Finance Broker-dealer Fixed income market Security Federal Reserve System United States federal banking legislation Dodd–Frank Wall Street Reform and Consumer Protection Act Standard Chartered Financial economics Investment Financial services
812	Broker-Dealer Fiduciary Duty: Recommendation of the Investor as Purchaser Subcommittee Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-09-27 15:15:01 Financial economics 76th United States Congress Investment Advisor Financial services Investment Adviser Association Financial adviser Fiduciary Registered Investment Advisor Investment Advisers Act Finance Law Business
813	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 29, 2013 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2013-07-29 15:07:52 Business Investment 76th United States Congress Investment Advisers Act Registered Investment Advisor Financial adviser Investment Advisor Broker-dealer Short Finance Financial economics Financial markets
814	Form BD OMB APPROVAL OMB Number: [removed]Expires: August 31, 2013 Add to Reading List Source URL: www.wvsao.gov Language: English - Date: 2012-03-29 08:00:31 Financial regulation 73rd United States Congress United States Securities and Exchange Commission Investment U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Securities Act Security Financial economics United States securities law Finance
815	DIVISION OF BANKING 217 ½ West Missouri, Pierre, SD[removed]MEMORANDUM[removed]NUMBER: 10-002 Add to Reading List Source URL: dlr.sd.gov Language: English - Date: 2013-03-15 15:12:11 Equity Financial markets Financial services Financial institutions Fiduciary Broker-dealer Short Bank Federal Reserve System Law Financial economics Common law
816	STATE OF MICHIGAN DEPARTMENT OF LABOR & ECONOMIC GROWTH OFFICE OF FINANCIAL AND INSURANCE SERVICES Before the Commissioner of the Office of Financial and Insurance Services In the matter of: Walter F. Robinson Add to Reading List Source URL: www.michigan.gov Language: English - Date: 2012-12-07 12:38:10 Financial markets United States securities law Investment 76th United States Congress Investment Advisers Act Investment Advisor Financial adviser Securities Act Broker-dealer Finance Financial economics Business
817	Broker-Dealer Finance and Financial Stability Add to Reading List Source URL: www.bostonfed.org Language: English - Date: 2014-09-05 15:13:36 Investment Short Federal Reserve System Repurchase agreement Broker-dealer Money market Security Net capital rule Prime brokerage Financial economics Financial markets Finance
818	OMB APPROVAL Form BDW OMB Number: [removed] Add to Reading List Source URL: www.wvsao.gov Language: English - Date: 2012-03-29 08:00:40 Finance Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Self-regulatory organization Financial Industry Regulatory Authority Net capital rule Registered Investment Advisor United States securities law Financial economics Financial system
819	Shareholder Sale Request Form Disney Investor Relations c/o Broadridge Corporate Issuer Solutions P.O. Box 1342 Brentwood, NY[removed]Phone: [removed]DISNEY[removed]) Add to Reading List Source URL: media.broadridge.com Language: English - Date: 2013-09-27 15:52:35 Stock market Financial markets Corporate finance Entrepreneurship Sales Broadridge Financial Solutions Broker-dealer Stock E-Trade Business Financial economics Economics
820	BEFORETHE COMMISSIONEROF COMMERCE AND INSURANCE FOR THE STATE OF TENNESSEEAT NASHVILLE MERIT QUEST CAPITAL MANAGEMENT INTERNATIONAL, LTD., IMPACT, IMP ACT INTERNATIONAL, GRAND ENTERPRISES,INC., Add to Reading List Source URL: www.tn.gov Language: English - Date: 2013-02-13 10:38:54 Financial system Financial services Broker-dealer Fixed income market Short Financial markets Financial economics Finance

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