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Office of the Kansas Securities Commissioner
Results: 31

#	Item
11	South Carolina Code of Regulations[removed]Use of the NASD CRD and IARD to Receive Certain Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Other Forms and Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial adviser Investment Uniform Securities Act Business Federal Reserve System Office of the Kansas Securities Commissioner Registered Investment Advisor United States securities law Finance Financial economics
12	Small Business Advisory: Crowdfunding On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups (JOBS) Act, a series of legislative provisions intended to facilitate capital formation in the Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:59 Crowd funding Securities offering U.S. Securities and Exchange Commission Securities regulation in the United States Financial adviser Securities fraud Broker-dealer Regulation D Office of the Kansas Securities Commissioner Financial economics Finance Business
13	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA ) Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:34 Business Financial adviser Investment Investment Advisor Registered representative Federal Reserve System Broker-dealer Registered Investment Advisor Office of the Kansas Securities Commissioner Finance Financial economics United States securities law
14	South Carolina Code of Regulations[removed]Use of the NASD CRD and IARD to Receive Certain Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Other Forms and Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial adviser Investment Uniform Securities Act Business Federal Reserve System Office of the Kansas Securities Commissioner Registered Investment Advisor United States securities law Finance Financial economics
15	Patricia Struck Patricia Struck, Administrator of the Division of Securities with the Wisconsin Department of Financial Institutions, was elected President of the North American Securities Administrators Association (NA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-07-12 12:58:15 Securities regulation in the United States Financial economics Financial system Finance Uniform Securities Act Office of the Kansas Securities Commissioner United States securities law Financial regulation North American Securities Administrators Association
16	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: 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
17	DEPARTMENT OF COMMERCE AND CONSUMER AFFAIRS Business Registration Division DCCA News Release LINDA LINGLE GOVERNOR Add to Reading List Source URL: files.hawaii.gov Language: English - Date: 2013-06-06 22:03:57 Investment Advisor Business U.S. Securities and Exchange Commission Money Economics Registered Investment Advisor Office of the Kansas Securities Commissioner Finance Investment Financial adviser
18	Microsoft Word - apr02-07.doc.doc Add to Reading List Source URL: www.azinvestor.gov Language: English - Date: 2013-08-23 17:15:33 Investor education Economics Office of the Kansas Securities Commissioner Center for Audit Quality Corruption Securities Securities fraud
19	Microsoft Word - April, 2014.doc Add to Reading List Source URL: www.senate.state.tx.us Language: English - Date: 2014-04-24 12:42:51 Investment Late-2000s financial crisis Texas State Securities Board Financial adviser Dodd–Frank Wall Street Reform and Consumer Protection Act Securities fraud Office of the Kansas Securities Commissioner U.S. Securities and Exchange Commission Financial economics Finance Economics
20	Microsoft Word - April, 2014.doc Add to Reading List Source URL: www.senate.state.tx.us Language: English - Date: 2014-04-24 12:42:51 Investment Late-2000s financial crisis Texas State Securities Board Financial adviser Dodd–Frank Wall Street Reform and Consumer Protection Act Securities fraud Office of the Kansas Securities Commissioner U.S. Securities and Exchange Commission Financial economics Finance Economics