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U.S. Securities and Exchange Commission
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291	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-07-28 15:48:39 Economy United States securities law Finance Money Employee Retirement Income Security Act Fiduciary North American Securities Administrators Association U.S. Securities and Exchange Commission Financial adviser Financial Industry Regulatory Authority DoddFrank Wall Street Reform and Consumer Protection Act Employee Benefits Security Administration
292	STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT STATEMENT OF INFORMATION FOR FINDER PURSUANT TO SECTIONof the California Corporations Code DBO) Add to Reading List Source URL: www.dbo.ca.gov Language: English - Date: 2015-12-31 12:19:18 Finance Economy Money U.S. Securities and Exchange Commission United States securities law 73rd United States Congress Securities Act Broker-dealer Regulation D Securities regulation in the United States
293	Microsoft Word - StatementOfOrgAndOper_ADOPTED_09docx Add to Reading List Source URL: www.ethics.state.fl.us Language: English - Date: 2015-09-14 09:52:19 Florida Florida law Constitution of Florida Government of Florida U.S. Securities and Exchange Commission
294	Rules Relating to Supplemental Report on SIPC Membership 17 C.F.R. § Adopted MarchSECURITIES INVESTOR Add to Reading List Source URL: www.sipc.org Language: English - Date: 2016-06-03 14:53:38 United States securities law Self-regulatory organizations Investment Securities Investor Protection Corporation Securities Investor Protection Act U.S. Securities and Exchange Commission Net capital rule
295	350 N. St. Paul Street Suite 1300 Dallas, Texaswww.apexclearing.com ANNUAL DISCLOSURE STATEMENT Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:12 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
296	Low-Priced Securities Disclosure Low-Priced Securities (Penny and Sub Penny Stocks) The term “penny stock” generally refers to low-priced (below $5), speculative securities of very small companies. While penny stocks Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:18 Economy Stock market Finance Money Security U.S. Securities and Exchange Commission Day trading Settlement Penny stock Depository Trust & Clearing Corporation Short
297	What you should know about... Financial Advisers An investor education and protection program from the Investor Protection Institute Add to Reading List Source URL: www.iinvest.org Language: English - Date: 2016-02-12 16:57:51 Economy Finance Money Personal finance Professional certification in finance Financial planners Financial adviser Investment Certified Financial Planner U.S. Securities and Exchange Commission Adviser Securities Investor Protection Corporation
298	HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER California Department of Business Oversight 1515 K Street, Suite 200 Sacramento, CA 95814 Add to Reading List Source URL: www.dbo.ca.gov Language: English - Date: 2016-02-16 18:00:19 Economy Finance Money United States securities law Corporate crime U.S. Securities and Exchange Commission Uniform Investment Adviser Law Exam Financial adviser Patent application Financial Industry Regulatory Authority Broker-dealer Investment Advisers Act
299	SECURITIES INVESTOR PROTECTION CORPORATION 2015 Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-06-03 14:53:27 Finance Money Economy Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Corporate crime Securities Investor Protection Act DoddFrank Wall Street Reform and Consumer Protection Act Broker-dealer U.S. Securities and Exchange Commission
300	No of US fed sec cl ac law fi pr yr 08_12 Add to Reading List Source URL: www.carolinasclassaction.com Language: English - Date: 2016-04-13 13:06:36 Stock market 107th United States Congress SarbanesOxley Act United States corporate law U.S. Securities and Exchange Commission Securities Class Action Initial public offering Citigroup Class action Security Accounting Securities Exchange Act

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