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61Page 16 of 35 EXHIBIT 5 Exhibit 5 shows the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. ***** 0100. GENERAL STANDARDS

Page 16 of 35 EXHIBIT 5 Exhibit 5 shows the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. ***** 0100. GENERAL STANDARDS

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Source URL: www.sec.gov

Language: English - Date: 2014-11-12 16:57:06
62NASAA ENFORCEMENT REPORT 2014 REPORT ON 2013 DATA PREPARED BY: NASAA ENFORCEMENT SECTION OCTOBER 2014

NASAA ENFORCEMENT REPORT 2014 REPORT ON 2013 DATA PREPARED BY: NASAA ENFORCEMENT SECTION OCTOBER 2014

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Source URL: www.nasaa.org

Language: English - Date: 2014-11-04 14:15:25
63Illinois Secretary of State Securities Department Instructions for Registration as a Securities Dealer

Illinois Secretary of State Securities Department Instructions for Registration as a Securities Dealer

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Source URL: www.cyberdriveillinois.com

Language: English - Date: 2012-02-06 10:25:39
64Investor Alert Investor Education Series Key Topics: ➤➤

Investor Alert Investor Education Series Key Topics: ➤➤

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Source URL: cca.hawaii.gov

Language: English - Date: 2014-11-13 15:33:33
65SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 2, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiv

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 2, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiv

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Source URL: www.sec.gov

Language: English - Date: 2014-12-03 08:50:47
66UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 16, 2014 Admin. Proc. File No[removed]

UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 16, 2014 Admin. Proc. File No[removed]

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Source URL: www.sec.gov

Language: English - Date: 2014-10-17 07:24:39
67SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r

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Source URL: www.sec.gov

Language: English - Date: 2014-09-16 17:44:51
68UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 12, 2014 Admin. Proc. File No[removed]

UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 12, 2014 Admin. Proc. File No[removed]

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Source URL: www.sec.gov

Language: English - Date: 2014-08-12 17:46:50
69SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 5, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Cha

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 5, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Cha

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Source URL: www.sec.gov

Language: English - Date: 2014-12-08 09:02:02
70SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r

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Source URL: www.sec.gov.

Language: English - Date: 2014-09-16 17:44:51