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Office of the Kansas Securities Commissioner
Results: 31

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1	Administrative Fine Imposed on the Responsible Person of Far Eastern Air Transport Corporation 1. Date the fine was imposed: September 5th, Recipient of the fine: Far Eastern Air Transport Corporation (the Compan Add to Reading List Source URL: www.twse.com.tw Language: English - Date: 2014-10-02 03:26:39 United States Securities and Exchange Commission SEC filings Financial regulation United States U.S. Securities and Exchange Commission Office of the Kansas Securities Commissioner United States securities law 73rd United States Congress Securities Exchange Act
2	Investigate Before You Invest WOMEN Check out an individual or firm before you trust them to help you with your money. Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-08-21 21:46:39 Finance Financial adviser Investment U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Stock broker Office of the Kansas Securities Commissioner Registered Investment Advisor United States securities law Financial economics Business
3	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:54:30 United States Securities and Exchange Commission United States securities law Financial adviser Securities Act Financial regulation Investment Advisers Act Office of the Kansas Securities Commissioner Investment Financial economics Finance
4	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:54:16 Investment United States Securities and Exchange Commission Financial adviser Financial regulation Securities Act Investment Advisers Act Office of the Kansas Securities Commissioner United States securities law Financial economics Finance
5	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:59:07 Investment United States Securities and Exchange Commission Financial regulation Financial adviser Securities Act Investment Advisers Act Office of the Kansas Securities Commissioner United States securities law Financial economics Finance
6	ALABAMA SECURITIES COMMISSION Post Office Box[removed]Montgomery, Alabama[removed]Telephone: ([removed]or[removed]Fax: ([removed]Email: [removed] Website: www.asc.alabama.gov Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2014-11-03 14:54:11 Securities fraud Securities Act Securities Commission of New Zealand Financial system Financial economics Financial regulation Richard M. Scrushy Office of the Kansas Securities Commissioner United States securities law Corruption Securities
7	North Carolina Department of the Secretary of State Securities Division Add to Reading List Source URL: www.secretary.state.nc.us Language: English - Date: 2014-12-30 14:09:28 Financial economics Registered Investment Advisor Business Financial regulation Financial adviser Investment Advisor Money North American Securities Administrators Association Office of the Kansas Securities Commissioner Finance United States securities law Investment
8	Alabama Securities Commission About State Regulation: Switching is not new. States are preparing to handle the switch. Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2013-08-27 16:52:44 Financial economics Financial adviser Investment Securities Act Business Office of the Kansas Securities Commissioner United States securities law Finance United States Securities and Exchange Commission
9	B L U E S KY S O L U T I O N S : M O N I TO R I N G & F I L I N G S E R V I C E S BLUE SKY LAWS BLUE SKY LAWS are U.S. state securities laws established to protect investors from fraud. Broker- Add to Reading List Source URL: www.otcmarkets.com Language: English - Date: 2014-04-25 17:28:23 Financial system OTC Markets Group Securities regulation in the United States Blue sky law Broker-dealer Security Investment Advisor Office of the Kansas Securities Commissioner Securities Act United States securities law Financial economics Finance
10	Washington State Department of Financial Institutions John L. Bley, Director Securities Division Deborah R. Bortner, Director[removed]http://www.wa.gov/dfi/securities Add to Reading List Source URL: www.dfi.wa.gov Language: English - Date: 2006-01-09 12:06:16 U.S. Securities and Exchange Commission Financial adviser Securities and Exchange Commission North American Securities Administrators Association Business Finance Office of the Kansas Securities Commissioner United States securities law Financial economics Corporate crime

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