Philadelphia Stock Exchange / New York Stock Exchange / Financial Industry Regulatory Authority / American Stock Exchange / Business Corporation / /
IndustryTerm
civil law / /
Organization
PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES Attn / PA Department of Banking and Securities / Department’s Bureau of Securities Licensing / Compliance and Examinations / World Health Organization / Department’s Consumer Services Office / United States Securities and Exchange Commission / Commodity Futures Trade Commission / Pennsylvania Department of Banking and Securities / Federal Trade Commission / U.S. Securities and Exchange Commission / Consumer Services Office / Pennsylvania Department of Banking / WE CAN / Consumer Financial Protection Bureau / / /
Position
ATTORNEY / BROKER-DEALER / chief compliance officer / PA Attorney General / arbitrator / compliance officer / MANAGER / broker / investment adviser / Your attorney / District Attorney / supervisor / as well as the office manager / YOUR BROKER AND YOUR BROKER / financial planner / /
1 INSTRUCTIONS FOR COMPLETING THE INVESTOR COMPLAINT FORM The Pennsylvania Department of Banking and Securities (Department) is responsible for regulating securities activities in Pennsylvania. The Department’s Bureau