General Securities Representative Exam - PDFSEARCH.IO - Document Search Engine

General Securities Representative Exam
Results: 176

#	Item
1	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. NoMay 7, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-05-07 15:46:38 Financial Industry Regulatory Authority Securities Exchange Act Registered Investment Advisor U.S. Securities and Exchange Commission Security PINO Debits and credits General Securities Representative Exam Sales United States securities law Business Finance
2	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 13, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-02-13 12:02:52 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer Trade Reporting And Compliance Engine Self-regulatory organization Security Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
3	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 4, 2015 Admin. Proc. File No Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-03-04 12:27:49 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Registered representative Broker-dealer General Securities Principal Exam SEC Rule 10b-5 United States securities law Financial economics Financial system
4	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 4, 2015 Admin. Proc. File No Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-03-04 12:27:49 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Registered representative Broker-dealer General Securities Principal Exam SEC Rule 10b-5 United States securities law Financial economics Financial system
5	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 13, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-13 12:02:52 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer Trade Reporting And Compliance Engine Self-regulatory organization Security Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
6	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-FINRAMarch 24, 2015 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiven Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-03-24 13:19:34 Business Financial services Financial regulation Financial Industry Regulatory Authority Investment Banking Exam General Securities Representative Exam Registered representative General Securities Principal Exam U.S. Securities and Exchange Commission United States securities law Professional certification in finance Self-regulatory organizations
7	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. NoMay 7, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-07 15:46:38 Financial Industry Regulatory Authority Securities Exchange Act Registered Investment Advisor U.S. Securities and Exchange Commission Security PINO Debits and credits General Securities Representative Exam Sales United States securities law Business Finance
8	INITIAL DECISION RELEASE NO. 768 ADMINISTRATIVE PROCEEDING FILE NOUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-07 14:52:34 Financial system U.S. Securities and Exchange Commission Investment Company Act Securities Exchange Act General Securities Representative Exam Securities and Exchange Commission Securities fraud United States securities law Financial regulation Government
9	BrokerCheck Report BOBBY O AJIBOYE CRD# [removed]Report #[removed], data current as of Sunday, July 06, 2014. Add to Reading List Source URL: www.laohamutuk.org Language: English - Date: 2014-09-14 00:57:46 Finance Financial Industry Regulatory Authority General Securities Representative Exam U.S. Securities and Exchange Commission Financial adviser Securities Exchange Act Registered Investment Advisor Selling away United States securities law Financial economics Business
10	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]March 4, 2015 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-03-04 12:27:49 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Registered representative Broker-dealer General Securities Principal Exam SEC Rule 10b-5 United States securities law Financial economics Financial system

UPDATE