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571	SR-EDGA[removed]Exhibit 5 Page 26 of 37 EXHIBIT 5 Proposed new language is underlined; proposed deletions are in [brackets]. CHAPTER I. ADOPTION, INTERPRETATION AND APPLICATION OF RULES, AND Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:53:11 Finance Securities Exchange Act Securities Act General Securities Representative Exam Registered representative Financial Industry Regulatory Authority Regulation S-K Registered Investment Advisor United States securities law Financial regulation Financial economics
572	Member Profile: A Closer Look at Who We Are www.IMCA.org Add to Reading List Source URL: www.imca.org Language: English - Date: 2014-10-29 18:50:12 Financial services Institutional investors Hedge fund Financial adviser Mutual fund Registered Investment Advisor Financial economics Investment Finance
573	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]February 26, 2015 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Amendmen Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-27 07:52:59 Financial system United States securities law Municipal Securities Rulemaking Board Bonds U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Industry and Financial Markets Association Financial adviser Registered Investment Advisor Financial economics Self-regulatory organizations Finance
574	INITIAL DECISION RELEASE NO. 746 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-27 10:45:19 Finance Government Financial regulation Investment Advisers Act U.S. Securities and Exchange Commission Investment Advisor Investment Company Act Securities Act Financial adviser United States securities law Law 76th United States Congress
575	SR-EDGX[removed]Exhibit 5 Page 26 of 37 EXHIBIT 5 Proposed new language is underlined; proposed deletions are in [brackets]. CHAPTER I. ADOPTION, INTERPRETATION AND APPLICATION OF RULES, AND Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:55:17 Finance Securities Exchange Act Securities Act General Securities Representative Exam Financial Industry Regulatory Authority Registered representative Regulation S-K Registered Investment Advisor United States securities law Financial regulation Financial economics
576	INITIAL DECISION RELEASE NO. 738 ADMINISTRATIVE PROCEEDING File No[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-20 16:44:06 76th United States Congress Business Corporate crime United States Securities and Exchange Commission Investment Advisers Act U.S. Securities and Exchange Commission Investment Advisor Financial regulation Securities regulation in the United States Finance Financial economics United States securities law
577	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]The Saratoga Advantage Trust and James Alpha Management, LLC; Notice of Application February 5, 2015 Agency: Securities an Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-05 17:56:43 Investment Business Investment Advisers Act Financial adviser Financial services Regulation S-X Investment Advisor Investment Company Act Management fee Financial economics 76th United States Congress Finance
578	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 25, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-25 12:31:19 Investment Advisers Act Financial economics Financial adviser U.S. Securities and Exchange Commission Securities and Exchange Commission Business Government Securities Fraud Deterrence and Investor Restitution Act Finance Investment Registered Investment Advisor
579	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 09:34:26 Investment Advisers Act Business Financial regulation Investment Registered Investment Advisor Financial adviser Investment Advisor U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Finance Financial economics 76th United States Congress
580	Microsoft Word - Codes CP - IB Codes _clean_.doc Add to Reading List Source URL: www.jerseyfsc.org Language: English - Date: 2007-07-30 11:42:44 Political corruption Financial economics Business Money Financial services Financial adviser Registered Investment Advisor Finance Investment Conflict of interest

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