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71	Flnra Financial Industry Regulatory Authority September 30, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-30 15:34:55 Financial regulation Law Arbitral tribunal U.S. Securities and Exchange Commission Arbitration Securities Exchange Act Economy of the United States Selling away OTC Bulletin Board United States securities law Self-regulatory organizations Financial Industry Regulatory Authority
72	Microsoft Word - 1176_20131211_Carnick_Code of Ethics.docm Add to Reading List Source URL: carnick.com Language: English - Date: 2014-08-26 10:47:10 Registered Investment Advisor Financial adviser Securities Exchange Act U.S. Securities and Exchange Commission Business Economics Selling away Madoff investment scandal Finance United States securities law Financial economics
73	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: 2014-12-11 15:11:41 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
74	MICHIGAN STATE UNIVERSITY CO LL E GE O F Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-24 09:39:52 Business Financial economics Financial Industry Regulatory Authority Financial system U.S. Securities and Exchange Commission Financial adviser Selling away General Securities Representative Exam United States securities law Self-regulatory organizations Finance
75	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] Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-10-17 07:24:39 Financial system U.S. Securities and Exchange Commission Self-regulatory organization Registered representative Securities Exchange Act Finance Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
76	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: 2014-12-11 11:37:15 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
77	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 17:44:51 Financial system Business U.S. Securities and Exchange Commission Self-regulatory organization General Securities Representative Exam Securities Exchange Act Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
78	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: 2014-11-20 16:14:05 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
79	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]September 26, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule C Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-30 10:39:16 Financial Industry Regulatory Authority Financial system Business Securities Exchange Act U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Selling away Registered Investment Advisor United States securities law Self-regulatory organizations Financial regulation
80	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: 2014-11-20 16:14:11 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment