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Financial Industry Regulatory Authority
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#	Item
991	Microsoft Word - bdestell4626 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-09 14:02:33 Financial Industry Regulatory Authority Financial system Financial regulation Short selling Arbitration Securities regulation in the United States Short Registered Investment Advisor Selling away Finance United States securities law Business
992	DEPARTMENT OF FINANCIAL SERVICES Division of Agent & Agency Services – Bureau of Licensing 200 East Gaines Street, Larson Building, Room 419 Tallahassee, FL[removed]MEDIATOR APPLICATION Add to Reading List Source URL: www.myfloridacfo.com Language: English - Date: 2014-07-18 15:06:32 Mediation Noyes Nolo contendere Social Security number ZIP code Financial Industry Regulatory Authority Social Security Economy of the United States Terminology Taxation in the United States Dispute resolution Law
993	DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency 12 CFR Part 13 [Docket No. ] RIN 1557-AB52 FEDERAL RESERVE SYSTEM Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2002-06-19 13:35:54 Financial system Finance Financial services Financial markets Financial Industry Regulatory Authority Security Broker-dealer Securities Exchange Act Municipal Securities Rulemaking Board United States securities law Financial economics Self-regulatory organizations
994	Advisor Views A feature from Eide Bailly Financial Services. Advisor Views offers timely investment news and market updates designed to keep you informed, while enhancing your overall investment experience. Add to Reading List Source URL: www.eidebailly.com Language: English - Date: 2013-12-04 11:44:46 Finance Financial adviser Mutual fund Financial Industry Regulatory Authority Investment management Bond Registered Investment Advisor Passive management Collective investment scheme Financial economics Investment Financial services
995	Microsoft Word - SEC Comment Letter - FINRA KYC and Suitability Proposal[removed]FINAL.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-15 11:28:07 United States securities law Financial markets Stock market 73rd United States Congress United States Securities and Exchange Commission Securities Industry and Financial Markets Association Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Broker-dealer Financial economics Investment Finance
996	2014 Exam Priorities Overview Add to Reading List Source URL: www.cecouncil.com Language: English - Date: 2014-08-11 13:46:00 United States securities law Stock market Financial markets Financial services Financial Industry Regulatory Authority Securities Exchange Act Structured product Investment banking U.S. Securities and Exchange Commission Financial economics Finance Business
997	Municipal Securities Rulemaking Board Add to Reading List Source URL: www.treasurer.ca.gov Language: English - Date: 2014-08-03 11:30:09 Finance Securities Bonds Electronic Municipal Market Access Municipal Securities Rulemaking Board Stock market Auction rate security Financial Industry Regulatory Authority Rulemaking Financial economics Self-regulatory organizations Financial system
998	Financial Education in the Math Classroom http://mathforum.org/fe/ Community Add to Reading List Source URL: mathforum.org Language: English - Date: 2014-02-28 13:45:25 Pi Mathematics Economy of the United States Structure Financial Industry Regulatory Authority United States securities law XTR
999	Comment Letter on File No. SR-FINRA[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-25 13:49:25 Finance Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Broker-dealer Registered representative Securities Exchange Act Securities Act Due diligence United States securities law Financial economics Financial system
1000	5 Questions on Compliance for Cailie Currin \| NAFA Annuity Outlook, Inc. Add to Reading List Source URL: www.currincompliance.com Language: English - Date: 2014-03-31 11:17:22 Financial institutions Institutional investors Annuity Contract law Regulatory compliance Financial Industry Regulatory Authority Compliance Life annuity Financial economics Investment Insurance