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391	Lump Sum Payouts: Questions You Should Ask Yourself Before You Invest Receiving a lump sum payout can be very exciting because for many individuals it’s rare to have the opportunity to spend or invest a large amount o Add to Reading List Source URL: investor.gov Language: English - Date: 2012-04-30 11:33:22 Economics Financial adviser U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Collective investment scheme Securities regulation in the United States Social Security Investor education Selling away Financial economics Investment Finance
392	Opinion of the Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-09 14:19:06 Financial system Selling away Securities Exchange Act Financial Industry Regulatory Authority Registered Investment Advisor U.S. Securities and Exchange Commission Security Rauscher Registered representative United States securities law Financial economics Business
393	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]April 17, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Chang Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-18 06:03:28 Financial regulation Business Expungement Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Self-regulatory organization Selling away United States securities law Financial Industry Regulatory Authority Law
394	Court of Appeals Opinion: John M.E. Saad v. U.S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-07 17:38:43 U.S. Securities and Exchange Commission Financial system Securities Exchange Act Self-regulatory organization General Securities Representative Exam Business Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
395	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No[removed]December 20, 2011 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-21 10:06:37 Financial system Business Securities Exchange Act Securities regulation in the United States Registered representative U.S. Securities and Exchange Commission Self-regulatory organization Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
396	Content Outline for S201 Regulatory Element Add to Reading List Source URL: www.cecouncil.com Language: English - Date: 2011-11-21 13:26:49 Finance Financial system 73rd United States Congress United States Securities and Exchange Commission Securities Act Securities research Patriot Act Selling away Regulation S-K Securities United States securities law Financial economics
397	Securities Industry Continuing Education Program Firm Element Advisory – Spring 2014 Introduction The Securities Industry/Regulatory Council on Continuing Education (Council) publishes the Firm Element Advisory (FEA) s Add to Reading List Source URL: www.cecouncil.com Language: English - Date: 2014-06-17 15:06:38 Financial Industry Regulatory Authority Financial system Finance Broker-dealer ACT Selling away United States securities law Self-regulatory organizations Financial economics
398	Regulatory Notice [removed]FINRA BrokerCheck Add to Reading List Source URL: www.cecouncil.com Language: English - Date: 2014-04-02 12:13:44 Finance Financial Industry Regulatory Authority Securities Exchange Act Registered representative Settlement Broker-dealer ACT Selling away Registered Investment Advisor United States securities law Financial economics Financial system
399	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]April 17, 2014 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-17 17:24:38 Finance Business Securities Selling away Financial Industry Regulatory Authority Financial system United States Securities and Exchange Commission U.S. Securities and Exchange Commission Securities regulation in the United States Self-regulatory organizations United States securities law Financial regulation
400	Request for rulemaking to require FINRA to propose new rules aimed at improving provisions for investor protection in FINRA rules Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-04-27 16:47:30 Finance Self-regulatory organizations Financial Industry Regulatory Authority Manuel P. Asensio U.S. Securities and Exchange Commission Securities Exchange Act Financial adviser Selling away Registered Investment Advisor United States securities law Business Financial economics

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