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Broker-dealer
Results: 2401

#	Item
821	West Virginia State Auditor’s Office About the State Auditor State of West Virginia State Auditor’s Office Add to Reading List Source URL: www.wvsao.gov Language: English - Date: 2013-05-14 15:01:00 Uniform Securities Act United States securities law Broker-dealer Securities Commission of New Zealand Security Securities fraud Financial economics Financial system Investment
822	LINDALINGLE MARK E. RECKTENWALD GOVERNOR Add to Reading List Source URL: files.hawaii.gov Language: English - Date: 2013-06-06 22:04:01 Business Investment Registered Investment Advisor Investment Advisor Uniform Securities Act Financial adviser U.S. Securities and Exchange Commission Securities Act Broker-dealer Financial economics Finance United States securities law
823	South Carolina Code of Regulations[removed]Exemptions for Certain Canadian Broker-Dealers. A. A broker-dealer that is registered in Canada and that does not have a place of business in this State shall be exempt from the Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial system Broker-dealer Security Securities Act Self-regulatory organization Exempt market dealer Form 144 Financial economics United States securities law Finance
824	Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2013-04-03 12:59:24 Financial markets United States securities law United States Securities and Exchange Commission Fixed income market Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Net capital rule Financial economics Financial system Investment
825	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: edgar.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
826	BEFORE THE COMMISSIONER OF THE TENNESSEE DEPARTMENT OF COMMERCE AND INSURANCE IN THE MATTER OF: TENNESSEE SECURITIES DIVIS ON Petitioner Add to Reading List Source URL: www.tn.gov Language: English - Date: 2013-02-13 10:38:58 Registered Investment Advisor Finance Financial system Financial economics Broker-dealer Fixed income market
827	Washington State Securities Division P.O. Box 9033 Olympia, WA[removed][removed]http://www.dfi.wa.gov/sd MORTGAGE BROKER-DEALER SURETY BOND Add to Reading List Source URL: www.dfi.wa.gov Language: English - Date: 2005-06-01 18:08:08 Notary public Bond Mortgage broker Sureties Law Surety bond
828	Order Temporarily Exempting Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 and Granting an Exemption for Certain Securities Transacti Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2012-04-23 09:27:20 Financial system Finance United States securities law Fixed income market Occupations Broker-dealer Broker Securities Exchange Act Prime brokerage Financial services Financial economics Financial markets
829	Microsoft Word - Letterhead.doc Add to Reading List Source URL: www.state.me.us Language: English - Date: 2014-01-21 11:08:12 Broker-dealer Fixed income market Finance United States securities law Securities Selling away Financial economics Financial services Financial system
830	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2007-12-26 12:28:25 Financial markets Financial services United States securities law 73rd United States Congress United States Securities and Exchange Commission Broker-dealer Securities Act Security Registered Investment Advisor Financial economics Investment Finance

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