31![Introduction Brokerage firms that experience serious financial difficulties and must be shut down may undergo what are called “liquidation” proceedings. The good news is that such closures do not happen very Introduction Brokerage firms that experience serious financial difficulties and must be shut down may undergo what are called “liquidation” proceedings. The good news is that such closures do not happen very](https://www.pdfsearch.io/img/c9660738ca39d0346fcd97f007ee4274.jpg) | Add to Reading ListSource URL: www.sipc.orgLanguage: English - Date: 2014-01-14 09:12:08
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32![2 What Happens When Broker Dies or Is Disabled? For the brokerage firms that have designated brokersin-charge (BICs), and these are usually the larger brokerage firms with more than 10 associated agents, when the princ
2 What Happens When Broker Dies or Is Disabled? For the brokerage firms that have designated brokersin-charge (BICs), and these are usually the larger brokerage firms with more than 10 associated agents, when the princ](https://www.pdfsearch.io/img/296e88a9a05623d3ec032bb5a9f3e55d.jpg) | Add to Reading ListSource URL: files.hawaii.govLanguage: English - Date: 2013-05-29 22:53:30
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33![E*TRADE Rule 606 Disclosure: 1Q2014 E*TRADE Securities LLC (“E*TRADE”) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the publi E*TRADE Rule 606 Disclosure: 1Q2014 E*TRADE Securities LLC (“E*TRADE”) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the publi](https://www.pdfsearch.io/img/c5c4f958768e594f09a02b63710dcedb.jpg) | Add to Reading ListSource URL: content.etrade.comLanguage: English - Date: 2014-04-22 18:26:25
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34![KENYA SUGAR BOARD TENDER NOTICE Tenders are invited from interested and competent firms for: a) Provision of Insurance Brokerage Services Tender No. KSB[removed]b) Registration of suppliers to be included in the Kenya KENYA SUGAR BOARD TENDER NOTICE Tenders are invited from interested and competent firms for: a) Provision of Insurance Brokerage Services Tender No. KSB[removed]b) Registration of suppliers to be included in the Kenya](https://www.pdfsearch.io/img/94b0f8f23455c72b9bd20ab1b584a9a3.jpg) | Add to Reading ListSource URL: www.kenyasugar.co.keLanguage: English - Date: 2014-05-23 08:36:06
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35![Notification and justification for the FSA’s requirements relating to client assets applicable to UK investment firms under Article 4 of Directive[removed]EC (“Level 2 Directive”) implementing Directive[removed]EC Notification and justification for the FSA’s requirements relating to client assets applicable to UK investment firms under Article 4 of Directive[removed]EC (“Level 2 Directive”) implementing Directive[removed]EC](https://www.pdfsearch.io/img/a1d83b9abc03cf791b420b0dbaff19c1.jpg) | Add to Reading ListSource URL: ec.europa.euLanguage: English - Date: 2014-06-27 11:13:18
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36![APEX Rule 606 Disclosure :: 1Q2013 APEX Clearing Corporation (APEX) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the public quart APEX Rule 606 Disclosure :: 1Q2013 APEX Clearing Corporation (APEX) has prepared this report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make available to the public quart](https://www.pdfsearch.io/img/b0becea2759c275fda8c63ca074ba54c.jpg) | Add to Reading ListSource URL: www.cobratrading.comLanguage: English - Date: 2013-07-19 18:04:23
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