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Uniform Combined State Law Exam
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1	User Guidance www.adviserinfo.sec.gov Investment Adviser Representative Public Disclosure Report Add to Reading List Source URL: freebeacon.com Language: English - Date: 2015-03-04 14:27:47 Business Financial adviser Investment Uniform Combined State Law Exam Economy of the United States U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Citigroup Registered Investment Advisor United States securities law Finance Financial economics
2	Chapter 1 So You Want to Sell Securities: Introducing the Series 7 Exam AL Add to Reading List Source URL: media.wiley.com Language: English - Date: 2013-09-01 13:13:00 Financial economics Business General Securities Representative Exam Registered representative Uniform Combined State Law Exam Uniform Securities Agent State Law Exam Financial Industry Regulatory Authority Financial adviser Stock broker United States securities law Professional certification in finance Education
3	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER PROVIDING FOR EXAMINATIONS OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES 1973 Act Reference: Rule[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:57:39 Financial services Finance Financial adviser Uniform Investment Adviser Law Exam Uniform Combined State Law Exam Uniform Securities Act Chartered Financial Analyst General Securities Representative Exam Securities Act United States securities law Professional certification in finance Financial economics
4	RULE Office of the Governor Office of Financial Institutions Investment Adviser Registration Procedure (LAC 10:XIII[removed]The Office of the Governor, Office of Financial Institutions, in accordance with the Add to Reading List Source URL: www.ofi.louisiana.gov Language: English - Date: 2008-12-04 10:42:35 Financial services Financial economics Financial regulation Registered Investment Advisor Financial adviser Investment Advisers Act Uniform Investment Adviser Law Exam Financial planner Uniform Combined State Law Exam United States securities law Finance Business
5	PDMM® Candidate Requirements ELIGIBILITY AND APPLICATION PROCESS FOR: PROFESSIONAL DAILY MONEY MANAGER CERTIFICATION The American Association of Daily Money Management (AADMM) provides a certification program as part of Add to Reading List Source URL: www.aadmm.com Language: English - Date: 2014-09-12 12:14:29 Law in the United Kingdom Patent attorney Test Knowledge Uniform Combined State Law Exam Uniform Certified Public Accountant Examination Education Standardized tests Evaluation
6	ALABAMA SECURITIES COMMISSION 401 ADAMS AVENUE, SUITE 280 MONTGOMERY, ALABAMA[removed]MAIL: POST OFFICE BOX[removed]MONTGOMERY, AL[removed]TELEPHONE[removed] Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2013-08-27 16:52:44 Investment Finance North American Securities Administrators Association Financial adviser Business Dodd–Frank Wall Street Reform and Consumer Protection Act Uniform Combined State Law Exam United States securities law Financial economics Financial regulation
7	Microsoft Word[removed]ASC-SERVICES-INFO-APPROVED Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2014-10-20 16:51:40 Financial economics North American Securities Administrators Association Investor education Securities fraud Securities Commission Investment Advisor Capital market Uniform Combined State Law Exam Uniform Securities Act United States securities law Economics Financial system
8	ALABAMA SECURITIES COMMISSION Joseph P. Borg, Director Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2013-08-19 15:43:50 Financial economics Law North American Securities Administrators Association Securities fraud Securities Commission of New Zealand Capital market Securities Commission Fraud Uniform Combined State Law Exam United States securities law Financial regulation Financial system
9	Microsoft Word[removed]NASAA IA Switch Add to Reading List Source URL: www.asc.state.al.us Language: English - Date: 2014-03-12 14:19:32 Business Joseph Borg Financial regulation North American Securities Administrators Association Securities Commission of New Zealand Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser Uniform Combined State Law Exam Uniform Securities Act United States securities law Financial economics Finance
10	Microsoft Word - Securities.doc Add to Reading List Source URL: www.ai.org Language: English - Date: 2014-10-24 17:09:13 Financial system Financial economics Finance U.S. Securities and Exchange Commission Securities regulation in the United States Financial Industry Regulatory Authority Capital market Uniform Combined State Law Exam Uniform Securities Agent State Law Exam United States securities law Financial regulation North American Securities Administrators Association

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