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Montgomery Securities
Results: 229

#	Item
61	Division of Corporation Finance No-Action Letter: Janney Montgomery Scott LLC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-09 17:46:47 Financial regulation Government New Deal Securities Act Securities Exchange Act Regulation D U.S. Securities and Exchange Commission Securities and Exchange Commission United States United States Securities and Exchange Commission United States securities law 73rd United States Congress
62	National Association of Independent Public Finance Advisors P.O. Box 304 Montgomery, Illinois[removed][removed] • [removed]Fax www.naipfa.com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-06 10:09:29 U.S. Securities and Exchange Commission Financial regulation Business Financial Industry Regulatory Authority Securities and Exchange Commission Financial adviser Rulemaking Tower Amendment Self-regulatory organizations Municipal Securities Rulemaking Board Government
63	ALABAMA SECURITIES COMMISSION 401 ADAMS AVENUE, SUITE 280 MONTGOMERY, ALABAMA[removed]MAIL: POST OFFICE BOX[removed]MONTGOMERY, AL[removed]TELEPHONE[removed] Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2012-03-06 20:13:55 Investment Finance North American Securities Administrators Association Financial adviser Business Dodd–Frank Wall Street Reform and Consumer Protection Act Uniform Combined State Law Exam United States securities law Financial economics Financial regulation
64	National Association of Independent Public Finance Advisors P.O. Box 304 Montgomery, Illinois[removed][removed] • [removed]Fax www.naipfa.com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-23 10:50:43 U.S. Securities and Exchange Commission Rulemaking Financial regulation Government Law Tower Amendment Electronic Municipal Market Access Self-regulatory organizations Municipal Securities Rulemaking Board United States administrative law
65	FORM RQ STATE OF ALABAMA OFFICE OF THE SECURITIES COMMISSION MONTGOMERY, ALABAMA APPLICATION FOR REGISTRATION OF SECURITIES BY QUALIFICATION Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2004-10-13 17:14:17 Financial economics United States securities law Finance Investment 73rd United States Congress Securities Act Prospectus Security U.S. Securities and Exchange Commission Stock market United States Securities and Exchange Commission SEC filings
66	ALABAMA SECURITIES COMMISSION 770 Washington Ave., Suite 570 Montgomery, Alabama[removed]Mail: Post Office Box[removed]Telephone: ([removed]or[removed]Fax: ([removed]Email: [removed] Website: Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2009-04-28 11:48:07 Joseph Borg Securities Act Alabama Fraud United States Law United States securities law Financial regulation
67	ALABAMA SECURITIES COMMISSION Post Office Box[removed]Montgomery, Alabama[removed]Telephone: ([removed]or[removed]Fax: ([removed]Email: [removed] Website: www.asc.alabama.gov Former Autauga C Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2010-12-21 15:18:52 Autauga County Alabama Securities fraud Prattville Alabama Booth Alabama Geography of Alabama Montgomery metropolitan area Alabama
68	ALABAMA SECURITIES COMMISSION 770 WASHINGTON AVE., SUITE 570 MONTGOMERY, ALABAMA[removed]Telephone: ([removed]or[removed]Fax: ([removed]Email: [removed] Website: www.asc.alabama.gov Joseph B Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2009-02-25 13:17:05 North American Securities Administrators Association Joseph Borg Law Business International Organization of Securities Commissions Securities Commission Ombudsman Capital market Securities market Financial regulation United States securities law Financial system
69	ALABAMA SECURITIES COMMISSION 770 Washington Ave., Suite 570 Montgomery, Alabama[removed]Mail: Post Office Box[removed]Telephone: ([removed]or[removed]Fax: ([removed]Email: [removed] Website: Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2009-03-16 18:40:54 Financial regulation Government United States securities law Securities Commission of New Zealand Securities Act
70	ALABAMA SECURITIES COMMISSION 770 WASHINGTON AVE, SUITE 570 MONTGOMERY, ALABAMA[removed]Telephone: ([removed]or[removed]Fax: ([removed]Email: [removed] Website: www.asc.state.al.us FOR IMMED Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2006-07-31 16:07:21 United States securities law Corruption Securities Securities fraud Securities Commission of New Zealand Securities Act Alabama Joseph Borg Law Fraud Ethics