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Financial Industry Regulatory Authority
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51	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-07-14 11:45:32 United States securities law Self-regulatory organizations Financial regulation Financial Industry Regulatory Authority North American Securities Administrators Association Law Business Economy
52	ALABAMA SECURITIES COMMISSION Post Office BoxMontgomery, AlabamaTelephone: (orFax: (Email: Website: www.asc.alabama.gov INVESTOR ALERT: Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2013-11-18 14:01:50 Economy Finance Spamming Money Social engineering Stock market Identity theft Financial services Financial Industry Regulatory Authority Auction rate security Security Phishing
53	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-07-28 15:51:22 Economy United States securities law Finance Money Employee Retirement Income Security Act Fiduciary North American Securities Administrators Association U.S. Securities and Exchange Commission DoddFrank Wall Street Reform and Consumer Protection Act Financial Industry Regulatory Authority Financial adviser Securities regulation in the United States
54	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-01-29 09:29:26 United States securities law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Registered Investment Adviser Broker-dealer Financial adviser North American Securities Administrators Association
55	Disclosure - FINRA Rule 4340 Callable Securities As required by FINRA Rule 4340, BNP Paribas Prime Brokerage, Inc. (“the Firm”) is making available to its customers details of how the Firm allocates callable securiti Add to Reading List Source URL: www.primebroker.com Language: English - Date: 2015-08-27 11:43:46 Economy Finance Self-regulatory organizations United States securities law Money Options Financial markets Financial Industry Regulatory Authority Security Callable bond Bond Short
56	IMC Financial Markets and Convergex Enter into Options Liquidity Agreement Each Firm Will Leverage Core Strengths to Expand Respective Options Businesses Chicago and New York – October 6, 2015 – IMC Financial Markets Add to Reading List Source URL: www.imc.ch Language: English - Date: 2015-10-07 10:23:21 IMC Financial Markets Financial Industry Regulatory Authority IMC Business Economy of the United States
57	TENDER NOTICE PREQUALIFICATION FOR PROVISION OF INTERGRATED FINANCIAL MANAGEMENT SYSTEM The Communication Authority of Kenya (CA) is the regulatory body of the ICT industry in Kenya with responsibilities in telecommunica Add to Reading List Source URL: www.ca.go.ke Language: English - Date: 2016-06-07 16:02:17
58	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2015-09-25 13:54:27 United States securities law Economy Law Financial Industry Regulatory Authority Business U.S. Securities and Exchange Commission North American Securities Administrators Association Uniform Securities Agent State Law Exam
59	Commodities Fraud: A serious problem Add to Reading List Source URL: www.smartcheck.cftc.gov Language: English - Date: 2016-06-15 15:37:49 Economy Commodity markets Finance Money Self-regulatory organizations Commodity Futures Trading Commission Commodity pool Financial Industry Regulatory Authority Futures contract Foreign exchange market
60	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-12-02 09:21:04 United States securities law North American Securities Administrators Association Financial Industry Regulatory Authority Joseph Borg U.S. Securities and Exchange Commission Broker-dealer Financial adviser

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