CUSTOMER INFORMATION SUMMARY BUSINESS ACCOUNT This is a record of the information that you provided us online. Please check for completeness and accuracy. Should you find everything in order, please affix your signature

Source URL: www.abcapitalsecurities.com.ph

• Financial markets
• Stock market
• Margin
• Order
• Electronic communication network
• Short
• Investment broker
• Demat account

OMB APPROVAL OMB Number: Estimated average burden hours per response

Source URL: cdn.batstrading.com

• U.S. Securities and Exchange Commission
• 73rd United States Congress
• Stock market
• Securities Exchange Act
• Securities regulation in the United States
• Broker-dealer
• Security
• SEC filing
• Form 144

2016 General Disclosures Daiwa Capital Markets America Inc. Dear Valued Customer, We are taking this opportunity to make certain disclosures to you ("You" or "Client") and remind you of certain important SEC and SRO rule

Source URL: www.us.daiwacm.com

• Financial markets
• Stock market
• Self-regulatory organizations
• United States securities law
• Financial services
• Broker-dealer
• Algorithmic trading
• Securities Investor Protection Corporation
• Order
• Day trading
• Financial Industry Regulatory Authority
• NASDAQ

Rules and Regulations Pertaining to Foreign Institutional Investor Participation in the Futures MarketI. Offshore Overseas Chinese and Foreign Nationals

Source URL: www.taifex.com.tw

• Commodity markets
• Futures exchanges
• Futures markets
• Stock market
• Futures contract
• Commodity broker
• Taiwan Futures Exchange
• Margin
• Security
• Taishin Futures Co.
• Ltd.
• Dalian Commodity Exchange

Bats LIS: Powered by BIDS FAQ Bats + BIDS Who are BIDS Trading? Established in 2006, BIDS Trading is a registered broker-dealer and the operator of the BIDS

Source URL: cdn.batstrading.com

• Financial markets
• Stock market
• Commodity markets
• BATS Global Markets
• Systemic risk
• Dark liquidity
• Algorithmic trading
• Indication of interest
• Markets in Financial Instruments Directive
• Commodity broker
• Order
• BATS Chi-X Europe

Microsoft Word - What FinCEN AML Proposal Means For Crowdfunding Platforms.docx

Source URL: www.arnoldporter.com

• Crowdfunding
• Tax evasion
• Terrorism
• Equity crowdfunding
• Stock market
• U.S. Securities and Exchange Commission
• Financial Crimes Enforcement Network
• Broker-dealer
• Security
• Jumpstart Our Business Startups Act
• Securities Exchange Act
• Securities regulation in the United States

350 N. St. Paul Street Suite 1300 Dallas, Texaswww.apexclearing.com ANNUAL DISCLOSURE STATEMENT

Source URL: d2ue93q3u507c2.cloudfront.net

• Economy
• Finance
• Money
• Financial markets
• Self-regulatory organizations
• Stock market
• United States securities law
• Financial services
• Securities Investor Protection Corporation
• Broker-dealer
• Securities Exchange Act
• U.S. Securities and Exchange Commission

Margin Disclosure Statement Robinhood Financial, LLC (“Robinhood Financial”, we”, “us”, or “our”) is a fully disclosed broker-dealer and member of FINRA and SIPC. Robinhood Financial is based in Palo Alto,

Source URL: d2ue93q3u507c2.cloudfront.net

• Financial markets
• Stock market
• United States securities law
• Self-regulatory organizations
• Margin
• Security
• Short
• Futures contract
• Securities Investor Protection Corporation
• Stock
• Securities lending
• Contract for difference

BROKER INSTRUCTIONS TO TRANSFER STOCK To: ____________________________________________________________________ (Name of Donor’s Broker) Please accept this as my instruction to transfer #__________________________shares

Source URL: inewsource.org

Microsoft Word05InvAlertCaruba-Tradewindetc.doc

Source URL: asc.alabama.gov

• Economy
• Finance
• Money
• Security
• Stock market
• Broker-dealer
• Tradewind
• Financial adviser
• Alabama
• Securities Act