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#	Item
91	78 NORTH BROADWAY WHITE PLAINS, NY[removed]WWW.LAW.PACE.EDU/PIRP JILL I. GROSS, DIRECTOR PHONE: [removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-05-07 11:52:48 Dispute resolution Mediation Arbitral tribunal Financial Industry Regulatory Authority Selling away Law Legal terms Arbitration
92	Comment Letter on SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-04-13 14:30:52 Registered representative Financial regulation Finance Business Financial economics Stock market Selling away Securities Exchange Act United States securities law Corporate crime U.S. Securities and Exchange Commission
93	ng NORTH AMERICAN SECURITIES ADMINISTIRATORS ASSOCIATION, INC. 10 G Street N.E.. Suite 710 Washington. DC 20002 Add to Reading List Source URL: www.sec.gov Language: English* - Date: 2003-11-26 10:44:19 Uniform Securities Act Financial regulation Business Finance Securities Financial economics Financial Industry Regulatory Authority Selling away United States securities law Corporate crime U.S. Securities and Exchange Commission
94	1st GLOBAL, inc. January 5, 2004 Secretary, Securities and Exchange Commission 450 Fifth Street, N.W., Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-01-16 11:56:04 Registered representative Financial regulation Economy of the United States Financial economics Selling away Securities Exchange Act United States securities law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission
95	PDF Document Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-11-04 11:19:39 Financial regulation U.S. Securities and Exchange Commission Registered representative Finance Selling away Audit committee United States securities law Business Financial Industry Regulatory Authority
96	Submitted Via Email: [removed] August 24, 2004 Jonathon G. Katz Secretary United States Securities and Exchange Commission 450 Fifth Street NW Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-08-25 14:40:51 Business Chief executive officer U.S. Securities and Exchange Commission Selling away Corporate governance Management Chief compliance officer
97	The stated purpose of the certification is to enhance investor protection by encouraging senior management to focus increased Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-08-25 14:41:30 Financial regulation Business Finance Financial system Selling away United States securities law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission
98	The convenience of the Internet — for staying in touch with old friends, The Honorable Connie Lawson Indiana Secretary of State Add to Reading List Source URL: in.gov Language: English - Date: 2014-10-24 17:28:22 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
99	Fighting Fraud 101 Smart Tips for Investors Even if you have never been subjected to an investment fraudster’s sales pitch, you probably know someone Add to Reading List Source URL: in.gov Language: English - Date: 2014-10-24 17:30:27 Financial economics Economics Securities Financial Industry Regulatory Authority Financial adviser U.S. Securities and Exchange Commission Securities fraud Investor education Selling away United States securities law Finance Business
100	FinancialIndustry RegulatoryAuthority March 27, 2008 Ms. Nancy M. Morris Secretary U.S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-03-28 14:39:22 Business Financial Industry Regulatory Authority Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission NASDAQ ACT Selling away United States securities law Economy of the United States Self-regulatory organizations

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