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General Securities Principal Exam
Results: 47

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21	Lawstar, Inc., its principal Mark Cave, and salesmen Milo Zlokovich and Richard Bonte - FOTCD Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 06:39:52 Financial regulation Financial economics Financial system United States securities law Securities Act General Securities Representative Exam
22	L.H. Ross & Company, Inc. and Jos S. Landau - CO Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 06:39:10 Financial system Securities Act Registered representative Landau Accredited investor General Securities Principal Exam United States securities law Financial economics Finance
23	Sikich_InvestmentBanking_Logo_white Add to Reading List Source URL: www.sikich.com Language: English - Date: 2013-10-11 14:23:18 Business Finance General Securities Principal Exam Investment Banking Exam General Securities Representative Exam Financial Industry Regulatory Authority Investment banking Securities Investor Protection Corporation U.S. Securities and Exchange Commission United States securities law Professional certification in finance Financial economics
24	Sikich_InvestmentBanking_Logo_white Add to Reading List Source URL: www.sikich.com Language: English - Date: 2014-02-04 10:28:20 Finance Financial system Financial services General Securities Principal Exam Financial Industry Regulatory Authority Investment banking Investment Banking Exam U.S. Securities and Exchange Commission Broker-dealer United States securities law Professional certification in finance Financial economics
25	Sikich_InvestmentBanking_Logo_white Add to Reading List Source URL: www.sikich.com Language: English - Date: 2013-10-11 14:22:39 Investment banking U.S. Securities and Exchange Commission General Securities Principal Exam Finance Financial economics Investment banks Mergers and acquisitions Business
26	Sikich_InvestmentBanking_Logo_white Add to Reading List Source URL: www.sikich.com Language: English - Date: 2013-10-11 14:23:27 Investment Investment banks Finance General Securities Principal Exam U.S. Securities and Exchange Commission Investment banking Financial Industry Regulatory Authority Securities Investor Protection Corporation Investment Banking Exam United States securities law Professional certification in finance Financial economics
27	Effective: November 19, 2001 NEBRASKA ADMINISTRATIVE CODE Title 48 - Department of Banking and Finance Chapter 4 - BROKER-DEALERS 001 Add to Reading List Source URL: www.sos.ne.gov Language: English - Date: 2012-08-13 11:35:40 Financial regulation Broker-dealer Securities Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission General Securities Representative Exam Broker General Securities Principal Exam Net capital rule United States securities law Financial economics Financial system
28	State of Rhode Island and Providence Plantations Department of Business Regulation Securities Division 1511 Pontiac Avenue John O. Pastore Complex - Building 69-1 Cranston, RI 02920 Add to Reading List Source URL: www.dbr.ri.gov Language: English - Date: 2012-09-12 10:40:33 Finance Business Uniform Investment Adviser Law Exam Financial adviser General Securities Principal Exam Financial planner Financial Industry Regulatory Authority Certified Financial Planner Broker-dealer United States securities law Professional certification in finance Financial economics
29	MIAMI INTERNATIONAL SECURITIES EXCHANGE, LLC Member Application Form An applicant for membership on the Miami International Securities Exchange, LLC (the “MIAX” or the “Exchange”) must complete this Member Applic Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-09 13:52:56 Financial system Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization International Securities Exchange Settlement Security General Securities Principal Exam United States securities law Financial economics Business
30	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]August 21, 2008 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Pr Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-08-25 10:10:58 Financial regulation Municipal Securities Rulemaking Board Government Financial system U.S. Securities and Exchange Commission Self-regulatory organization Securities Act Securities Exchange Act General Securities Principal Exam United States securities law 73rd United States Congress United States Securities and Exchange Commission

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