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Uniform Investment Adviser Law Exam
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1	APCM_Staff Supplemental 4 panel Web_July2016.indd Add to Reading List Source URL: www.apcm.net Language: English - Date: 2016-08-08 21:03:57 Professional certification in finance Certified Financial Planner Chartered Financial Analyst Chartered Professional certification CFA Institute Alaska Finance The American College of Financial Services Registered Investment Adviser Uniform Investment Adviser Law Exam
2	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
3	Pre-Evaluated List 2014.xlsx Add to Reading List Source URL: cdn.assets-phoenix.net Language: English - Date: 2015-05-04 17:59:57 Financial adviser Investment Uniform Securities Agent State Law Exam Master of Education Business Money Economics Professional certification in finance United States securities law Finance
4	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
5	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
6	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
7	Comments on SR-MSRB[removed]These comments are being submitted on behalf of a registered Investment Adviser (RIA) and Municipal Advisor (MA). In short, we believe that individuals who are Chartered Financial Analyst (CFA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-30 13:25:17 Business Financial economics Investment Financial services Municipal Securities Rulemaking Board CFA Institute Financial adviser Uniform Investment Adviser Law Exam Registered Investment Advisor Financial planning Professional certification in finance Chartered Financial Analyst
8	Illinois Secretary of State Securities Department Instructions for Registration as an Investment Adviser Add to Reading List Source URL: www.cyberdriveillinois.com Language: English - Date: 2012-02-06 10:25:40 Business Registered Investment Advisor Financial adviser Stock market Financial Industry Regulatory Authority Investment Advisers Act Uniform Investment Adviser Law Exam U.S. Securities and Exchange Commission Security United States securities law Financial economics Finance
9	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
10	UNIFORM FORMS REFERENCE GUIDE If you have questions or comments about the Form U-4 or the Form U-5, you may contact the following entities: Electronic Filing Information: Central Registration Depository (CRD)®, Web CRDS Add to Reading List Source URL: www.state.tn.us Language: English - Date: 2013-02-13 10:39:01 SEC filings Financial system North American Securities Administrators Association Investment Advisers Act Uniform Investment Adviser Law Exam Patent attorney Filing United States securities law Financial regulation Law

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