Uniform Securities Act - PDFSEARCH.IO - Document Search Engine

Uniform Securities Act
Results: 366

#	Item
41	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
42	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER PROVIDING FOR EXCLUSIONS FROM THE DEFINITION OF INVESTMENT ADVISER REPRESENTATIVE RELATING TO SOLICITORS The Commissioner of Secu Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:52:38 Investment Business Money Financial adviser Investment Advisor U.S. Securities and Exchange Commission Uniform Securities Act Securities Act Investment Advisers Act Finance United States securities law Financial economics
43	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER ESTABLISHING INVESTMENT ADVISER POSTREGISTRATION REQUIREMENTS 1973 Act Reference: Rules[removed], 590-4~8-.09, and[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:58:24 Business Investment Advisers Act Investment Financial adviser Money Investment Advisor Investment Company Act U.S. Securities and Exchange Commission Investment Adviser Association Finance 76th United States Congress Financial economics
44	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER ALLOWING ISSUERS RELYING ON S.E.C. REGULATION D TO FILE NOTICE WITH THE COMMISSIONER 1973 Act Reference: Section[removed]g)(2) Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:57:25 73rd United States Congress Financial regulation Finance Financial economics Stock market Securities Act Regulation D Form D U.S. Securities and Exchange Commission United States securities law United States Securities and Exchange Commission SEC filings
45	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:54:36 United States United States securities law Financial regulation Securities Act
46	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:54:30 United States Securities and Exchange Commission United States securities law Financial adviser Securities Act Financial regulation Investment Advisers Act Office of the Kansas Securities Commissioner Investment Financial economics Finance
47	PUBLIC LAW[removed]—NOV. 3, [removed]STAT[removed]Public Law[removed]105th Congress Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2013-10-17 11:46:52 Law Financial regulation Government Securities Litigation Uniform Standards Act Private Securities Litigation Reform Act Securities Exchange Act Securities Act United States Code Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
48	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:59:00 Financial system 73rd United States Congress United States Securities and Exchange Commission Broker-dealer Fixed income market U.S. Securities and Exchange Commission Securities Act Exempt market dealer Registered Investment Advisor Financial economics Finance United States securities law
49	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER ESTABLISHING BROKER-DEALER POSTREGISTRATION REQUIREMENTS Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:58:32 Financial system Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Net capital rule Security Financial Industry Regulatory Authority Financial adviser Securities Act United States securities law Financial economics Finance
50	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:54:16 Investment United States Securities and Exchange Commission Financial adviser Financial regulation Securities Act Investment Advisers Act Office of the Kansas Securities Commissioner United States securities law Financial economics Finance

UPDATE