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Broker-dealer
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#	Item
861	OMB APPROVAL OMB Number: [removed]Expires: July 31, 2008 Estimated Average burden Add to Reading List Source URL: securities.utah.gov Language: English - Date: 2013-09-12 21:17:06 Financial markets Financial adviser Investment Investment Advisor Financial services U.S. Securities and Exchange Commission Security Broker-dealer Real estate broker Financial economics Business Finance
862	Microsoft Word - breg_broker_registration_memo.doc Add to Reading List Source URL: files.hawaii.gov Language: English - Date: 2013-06-06 22:04:38 Financial system 73rd United States Congress United States Securities and Exchange Commission Broker-dealer Fixed income market Affidavit Securities Act Law United States securities law Financial economics
863	BEFORE THE COMMISSIONER OF THE TENNESSEE DEPARTMENT OF COMMERCE AND INSURANCE IN THE MATTER OF: I Add to Reading List Source URL: www.tn.gov Language: English - Date: 2013-02-13 10:38:19 Business Investment Financial services Occupations Financial adviser Broker-dealer Short Broker Financial economics Finance Financial markets
864	Microsoft Word - Transaction Certification Form.docx Add to Reading List Source URL: disb.dc.gov Language: English - Date: 2014-05-23 11:41:30 United States Securities and Exchange Commission Financial system Finance New Deal Securities Act Broker-dealer Columbia South Carolina United States securities law Financial economics 73rd United States Congress
865	Microsoft Word - breg_broker_reporting_requirements.doc Add to Reading List Source URL: files.hawaii.gov Language: English - Date: 2013-06-06 22:04:38 Financial system Finance United States securities law SEC filings Registered Investment Advisor Net capital rule Financial economics Broker-dealer Fixed income market
866	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: in.gov Language: English - Date: 2014-09-19 12:19:51 Crowd funding Investment United States securities law Securities offering U.S. Securities and Exchange Commission Securities regulation in the United States Financial adviser Broker-dealer Regulation D Financial economics Finance Business
867	Microsoft Word - Document2 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2011-12-27 13:31:21 Financial system United States securities law Broker-dealer Fixed income market Securities Exchange Act Short U.S. Securities and Exchange Commission Net capital rule Financial markets Financial economics Finance
868	DIVISION OF SECURITIES AND RETAIL FRANCHISING Add to Reading List Source URL: www.scc.virginia.gov Language: English - Date: 2001-09-26 11:36:16 Marketing Contract law Franchising State Corporation Commission Financial adviser Investment Advisor Broker-dealer Trademark Finance Business Financial economics
869	New Brunswick Investment Management Corporation / Société de gestion des placements NB Trade Management and Best Execution Guidelines Updated to November 4, 2013 Add to Reading List Source URL: nbimc.com Language: English - Date: 2013-11-07 13:06:11 Financial system Financial services Stock market Mathematical finance Direct market access Best execution Algorithmic trading Broker-dealer Investment management Financial markets Financial economics Finance
870	COMPARISON OF FEES COLLECTED BY THE DIVISION OF SECURITIES Add to Reading List Source URL: www.scc.virginia.gov Language: English - Date: 2001-09-26 11:41:06 Marketing Contract law Franchising State Corporation Commission Financial adviser Investment Advisor Broker-dealer Trademark Business Finance Financial economics

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