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General Securities Principal Exam
Results: 47

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31	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]September 7, 2004 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-09-08 10:15:05 United States Securities and Exchange Commission Self-regulatory organizations Municipal Securities Rulemaking Board Financial system United States U.S. Securities and Exchange Commission Securities Act Securities Exchange Act General Securities Principal Exam United States securities law Financial regulation 73rd United States Congress
32	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Study Outline and Selection Specifications for the Limited Principal – General Securities Sales Supervisor (Series 9/10) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-09 15:14:06 Government Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Financial Industry Regulatory Authority Registered representative General Securities Principal Exam Securities and Exchange Commission United States securities law Financial regulation Financial system
33	Notice of Filing of Proposed Rule and Amendment No. 1 Thereto Relating to a Proposed Interpretation to Rule 342 (Offices – Approval, Supervision, and Control); Rel. No[removed], File No. SR-NYSE[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-10-20 17:01:21 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Broker-dealer General Securities Principal Exam New York Stock Exchange Securities Act Federal Reserve System United States securities law Financial economics Financial system
34	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-12 13:04:03 Financial regulation Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission General Securities Principal Exam New York Stock Exchange NYSE Euronext Selling away United States securities law Economy of the United States Financial system
35	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-27 10:46:18 Finance Financial Industry Regulatory Authority Registered representative General Securities Representative Exam General Securities Principal Exam Self-regulatory organization U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Financial analyst United States securities law Financial economics Financial system
36	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-03 14:57:58 Business Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission General Securities Principal Exam Self-regulatory organization Securities Act Regulation S-K Selling away United States securities law Financial regulation Financial system
37	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-11 13:08:51 Financial system Financial Industry Regulatory Authority Securities Exchange Act Securities regulation in the United States Self-regulatory organization U.S. Securities and Exchange Commission Registered representative General Securities Principal Exam NASDAQ United States securities law Financial economics Financial regulation
38	Microsoft Word[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-24 12:26:21 Financial regulation Self-regulatory organization Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission General Securities Principal Exam NYSE Euronext Registered representative United States securities law Financial system Financial economics
39	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-03 15:06:47 Finance Financial Industry Regulatory Authority Registered representative General Securities Principal Exam General Securities Representative Exam Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities Act United States securities law Financial economics Financial system
40	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CHX[removed]October 2, 2013 Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rul Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-02 16:56:59 Finance Chicago Stock Exchange Securities Exchange Act Financial Industry Regulatory Authority Broker-dealer U.S. Securities and Exchange Commission Security Series 14 General Securities Principal Exam United States securities law Financial economics Financial system

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