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41	December 24, 2002 Katherine A. England Assistant Director Division of Market Regulation Securities and Exchange Commission Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:26:27 Financial system Securities Exchange Act Financial Industry Regulatory Authority Securities Act Security U.S. Securities and Exchange Commission Registered representative Selling away World Group Securities United States securities law Financial regulation Financial economics
42	Regulatory Notice[removed]Social Media Web Sites Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:44:11 Financial regulation Securities Exchange Act Financial economics Registered representative Instant messaging Selling away United States securities law Financial Industry Regulatory Authority Business
43	December 24, 2002 Katherine A. England Assistant Director Division of Market Regulation Securities and Exchange Commission Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:32:26 Financial system Securities Exchange Act Financial Industry Regulatory Authority Securities Act Security U.S. Securities and Exchange Commission Registered representative Selling away World Group Securities United States securities law Financial regulation Financial economics
44	December 20, 2013 VIA EMAIL Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.managedfunds.org Language: English Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Hedge fund Financial adviser Securities Exchange Act Selling away Financial economics United States securities law Investment
45	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.ai.org Language: English - Date: 2014-12-11 11:16:14 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
46	Press Release Interactive Data and FINRA Provide Transparency into Structured Securities Market New Report Designed to Increase Transparency into Structured Transactions Add to Reading List Source URL: www.interactivedata-prd.com Language: English - Date: 2015-01-09 17:30:19 Financial system Financial Industry Regulatory Authority Trade Reporting And Compliance Engine Interactive Data Corporation Securities regulation in the United States ACT Market data Selling away OTC Bulletin Board United States securities law Financial economics Finance
47	NASD Notice to Members[removed]NASD Provides Guidance On Supervisory Add to Reading List Source URL: www.nfa.futures.org Language: English - Date: 2010-05-12 16:15:24 United States Securities and Exchange Commission Financial Industry Regulatory Authority Financial regulation Business Financial economics Selling away United States securities law 73rd United States Congress Securities Exchange Act
48	Client Alert Current Issues Relevant to Our Clients January 29, 2015 FINRA 2015 Regulatory and Examinations Priorities Add to Reading List Source URL: www.chapman.com Language: English - Date: 2015-01-29 12:24:47 Financial Industry Regulatory Authority Business Economy of the United States Municipal Securities Rulemaking Board ACT U.S. Securities and Exchange Commission Securities Exchange Act Registered representative Selling away United States securities law Self-regulatory organizations Financial regulation
49	BrokerCheck Report SCOTT MICHAEL BORUFF CRD# [removed]Report #[removed], data current as of Wednesday, July 27, 2011. Add to Reading List Source URL: www.thestreetsweeper.org Language: English - Date: 2011-07-28 11:07:16 Financial Industry Regulatory Authority Finance General Securities Representative Exam Financial adviser U.S. Securities and Exchange Commission Securities regulation in the United States Selling away Registered Investment Advisor United States securities law Financial economics Business
50	NASD Surveys Member Firms And Develops Member Regulation Program Member Survey Results As Of June 30, 1998 The National Association of Securities Dealers Inc. (NASD®) sent a survey to its members in late 1997 to evaluat Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:37:00 Business Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Security Registered representative Securities regulation in the United States Selling away United States securities law Financial system Financial economics