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351	Edition 9 Markets Regulation Client Newsletter – September 2014 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information prepared as of Add to Reading List Source URL: cib.rbs.com Language: English Economy Finance Money Systemic risk Swap Execution Facility European Market Infrastructure Regulation Over-the-counter Derivative Commodity Futures Trading Commission Basel III Interest rate swap DoddFrank Wall Street Reform and Consumer Protection Act
352	EBF_020359 18 March 2016 EUROPEAN BANKING FEDERATION’S RESPONSE TO THE EUROPEAN COMMISSION GREEN PAPER ON RETAIL FINANCIAL SERVICES Add to Reading List Source URL: www.ebf-fbe.eu Language: English - Date: 2016-03-31 10:33:51 Economy Finance Money Financial services Payment Services Directive Bank Financial technology Mortgage Credit Directive European Banking Federation European Union law Non-banking financial company Consumer protection
353	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
354	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
355	Edition 3 Markets Regulation Client Newsletter – March 2014 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information is accurate as Add to Reading List Source URL: cib.rbs.com Language: English Economy Finance Money Systemic risk Financial markets Financial regulation Financial services Self-regulatory organizations European Market Infrastructure Regulation Swap Execution Facility Over-the-counter Commodity Futures Trading Commission
356	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: 2015-08-12 13:54:13 Economy Finance Money United States securities law 76th United States Congress Investment Advisers Act Registered Investment Adviser U.S. Securities and Exchange Commission Financial adviser North American Securities Administrators Association Brian Hamburger
357	MEDIA RELEASE International Organization of Securities Commissions Organisation internationale des commissions de valeurs Organização Internacional das Comissões de Valores Organización Internacional de Comisiones d Add to Reading List Source URL: www.iosco.org Language: English - Date: 2016-05-11 17:59:35 Economy Financial regulation International Organization of Securities Commissions Finance Government Securities commission Securities Commission of New Zealand Security Trinidad and Tobago Securities and Exchange Commission Comisin Nacional del Mercado de Valores
358	ALABAMA SECURITIES COMMISSION Post Office BoxMontgomery, AlabamaTelephone: (orFax: (Email: Website: www.asc.alabama.gov INVESTOR ALERT: Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2013-11-18 14:01:50 Economy Finance Spamming Money Social engineering Stock market Identity theft Financial services Financial Industry Regulatory Authority Auction rate security Security Phishing
359	FOR IMMEDIATE RELEASE Alabama Securities Commission Advises Investors to Beware of Hurricane-Related Scams MONTGOMERY, ALABAMA (September 2, In the wake of widespread devastation caused by Hurricane Katrina in L Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2013-11-18 14:02:14 Economy Finance Money High-yield investment program Securities fraud Investor
360	NFA Investor Education Brochure Add to Reading List Source URL: www.nfa.futures.org Language: English - Date: 2016-05-10 15:48:07 Economy Finance Money Commodity markets Financial markets National Futures Association Systemic risk Foreign exchange companies Futures contract Foreign exchange market Commodity Futures Trading Commission Derivative

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