Selling away - PDFSEARCH.IO - Document Search Engine

Selling away
Results: 418

#	Item
301	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Jonathan W. Brooks and J. Brooks Financial, Inc., Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:26 Money Investment Advisor James Beard Foundation Financial adviser U.S. Securities and Exchange Commission Security Selling away Citigroup Uniform Securities Act Finance Financial economics Business
302	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-12-21 13:43:58 Investment Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Mutual fund fees and expenses Securities regulation in the United States Broker-dealer Registered representative Selling away United States securities law Financial economics Financial system
303	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-10 11:31:43 Financial Industry Regulatory Authority Financial economics Securities Exchange Act Self-regulatory organization NYSE Euronext U.S. Securities and Exchange Commission General Securities Representative Exam Selling away Mary Schapiro United States securities law Business Financial system
304	Release No[removed]; File No. SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-03 11:19:14 Securities Exchange Act Financial Industry Regulatory Authority Financial economics U.S. Securities and Exchange Commission Self-regulatory organization Credit rating agency Selling away United States securities law Financial regulation Financial system
305	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-EDGA[removed]November 8, 2013 Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-11-08 17:37:21 Business Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Registered representative Financial system Selling away Registered Investment Advisor United States securities law Financial regulation Financial Industry Regulatory Authority
306	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-07-12 16:04:41 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Arbitral tribunal Selling away World Group Securities United States securities law Financial economics Financial system
307	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 29, 2013 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed R Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-11-29 16:11:58 Securities Financial economics Business Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Securities research Selling away Registered Investment Advisor United States securities law Self-regulatory organizations Financial system
308	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-07-09 11:13:56 Financial Industry Regulatory Authority Financial system Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Manning rule Selling away United States securities law Financial regulation Business
309	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 4, 2013 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-07 09:49:27 Financial Industry Regulatory Authority United States Securities and Exchange Commission Financial system Business Securities Exchange Act U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Selling away United States securities law Self-regulatory organizations Financial regulation
310	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-11-05 17:03:41 Financial Industry Regulatory Authority Financial system Business Self-regulatory organization U.S. Securities and Exchange Commission Fifth Amendment to the United States Constitution Selling away United States securities law Financial regulation Securities Exchange Act

UPDATE