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321	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Status of Registered Persons and Sole Proprietors Serving in the Armed Forces of the United States; Rel. No[removed], File No. SR-NASD Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-22 16:04:07 Financial Industry Regulatory Authority Registered representative Self-regulatory organization U.S. Securities and Exchange Commission Business Financial system Selling away United States securities law Financial regulation Securities Exchange Act
322	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-06-03 09:15:46 Financial system Securities Exchange Act Self-regulatory organization Business U.S. Securities and Exchange Commission Selling away Securities regulation in the United States United States securities law Financial Industry Regulatory Authority Financial regulation
323	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-04-08 13:41:22 Self-regulatory organizations Finance Financial Industry Regulatory Authority Securities Exchange Act Financial services U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Selling away United States securities law Financial economics Financial system
324	March 8, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth St., N.W. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 10:12:07 Business Financial Industry Regulatory Authority Self-regulatory organization Securities Exchange Act NASDAQ U.S. Securities and Exchange Commission Securities regulation in the United States Alternative display facility Selling away United States securities law Economy of the United States Financial economics
325	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-01 12:00:59 Self-regulatory organizations Finance Financial Industry Regulatory Authority Securities Exchange Act Financial markets U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Selling away United States securities law Financial economics Financial system
326	Release No[removed], File No. SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-09-13 15:18:15 Financial system Financial Industry Regulatory Authority Business U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Selling away United States securities law Securities Exchange Act Financial regulation
327	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: 2014-08-12 12:25:42 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
328	Complaints Investments are not risk free The reality of investment markets is that they fluctuate, both up and down. It is important for investors, together with their investment salesperson, to assess their objectives Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:16:14 Conflict Law Financial regulation Ombudsman for Banking Services and Investments Ombudsman Securities regulation in the United States Investment Industry Regulatory Organization of Canada Securities Act Selling away Financial economics Securities Dispute resolution
329	Financial Industry Regulatory Authority October 14,2010 Michael J. Spratt u. S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-08 14:19:28 Finance Financial economics Business U.S. Securities and Exchange Commission Financial adviser Financial regulation Selling away OTC Bulletin Board United States securities law Self-regulatory organizations Financial Industry Regulatory Authority
330	Microsoft Word - Document1 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-12 13:17:54 Financial economics Financial Industry Regulatory Authority Financial adviser Money Late-2000s financial crisis Selling away U.S. Securities and Exchange Commission Finance United States securities law Business

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