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381	SEC News Digest, [removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-13 10:16:18 Investment Registered representative NASDAQ Citigroup World Group Securities Selling away United States securities law Economy of the United States Economy of New York City
382	SEC Opinion: ALVIN W. GEBHART, JR. and DONNA T. GEBHART Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-01-18 15:40:56 Securities Selling away Business Securities Exchange Act Security U.S. Securities and Exchange Commission Securities regulation in the United States Financial system Financial economics United States securities law Finance
383	annual report revised.indb Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-07-14 15:30:54 Finance Securities Occupations Securities research Hedge fund Investment banking Financial adviser Selling away Financial economics Financial services Investment
384	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]May 20, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectivenes Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-21 08:36:34 United States Securities and Exchange Commission Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act ACT Economy of the United States Securities regulation in the United States Business Selling away United States securities law Self-regulatory organizations Financial regulation
385	DAVREY FINANCIAL SERVICES, INC. and PRAVIN R. DAVREY Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-06-17 14:14:59 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Net capital rule U.S. Securities and Exchange Commission Citigroup Financial economics Selling away Financial Industry Regulatory Authority United States securities law Financial regulation Economy of the United States
386	Microsoft Word - HOW_TO_ASK_AND_CHECK.doc Add to Reading List Source URL: www.azinvestor.gov Language: English - Date: 2012-06-07 18:19:57 Finance Financial adviser U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities regulation in the United States Collective investment scheme Selling away Registered Investment Advisor Financial economics Investment United States securities law
387	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: www.in.gov Language: English - Date: 2014-07-01 03:02:32 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
388	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-28 17:03:12 Financial regulation Business Securities Exchange Act Mediation Self-regulatory organization Arbitration U.S. Securities and Exchange Commission Selling away United States securities law Law Financial Industry Regulatory Authority
389	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]April 22, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-23 12:07:40 Financial Industry Regulatory Authority Economy of the United States Securities Exchange Act Financial system U.S. Securities and Exchange Commission New York Stock Exchange Selling away Mary Schapiro United States securities law Self-regulatory organizations Financial regulation
390	Order Dismissing Proceedings in the Matter of the Application of Sharemaster for Review of Disciplinary Action Taken by Financial Industry Regulatory Authority, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-14 15:30:39 Accountancy Financial Industry Regulatory Authority Public Company Accounting Oversight Board U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Sarbanes–Oxley Act Selling away United States securities law Business Finance

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