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General Securities Representative Exam
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101	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
102	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
103	Note: Proposed new language is underlined. Proposed deletions are enclosed in [brackets]. Rules of BATS Y-Exchange, Inc. *** CHAPTER II. MEMBERS OF THE EXCHANGE * Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-21 12:59:22** Investment Financial markets Financial system General Securities Representative Exam Professional certification in finance Registered representative Investment banking Proprietary trading Stock exchange United States securities law Stock market Financial economics
104	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-24 08:54:31 Financial system Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission General Securities Representative Exam Commodity Futures Trading Commission Self-regulatory organization Security Registered Investment Advisor United States securities law Financial regulation Business
105	Exhibit to File No. SR-EDGA[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-10 09:51:56 Registered representative Finance Financial system Regulation S-K Stock broker United States securities law Financial economics General Securities Representative Exam
106	SR-CHX[removed] – Amendment No. 2 Page 22 of 24 Exhibit 5 Additions are underlined; deleted text is [in brackets] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-15 15:33:40 Fingerprints Business Financial Industry Regulatory Authority Economy of the United States Fee Chicago Stock Exchange General Securities Representative Exam Termination fee Security United States securities law Self-regulatory organizations Biometrics
107	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
108	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CHX[removed]January 14, 2013 Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-15 15:33:40 Financial regulation Business Financial Industry Regulatory Authority Securities Exchange Act Chicago Stock Exchange Registered representative General Securities Representative Exam U.S. Securities and Exchange Commission United States securities law Self-regulatory organizations Economy of the United States
109	Order Approving Proposed Rule Change Regarding Registration, Qualification, and Continuing Education Requirements for Members and Associated Persons Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-02-07 19:36:24 Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission International Securities Exchange General Securities Representative Exam Securities regulation in the United States Securities Act Registered Investment Advisor United States securities law Financial regulation United States
110	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 19, 2012 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effecti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-20 12:37:43 Business Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Registered representative General Securities Representative Exam Commodity Futures Trading Commission Self-regulatory organization Selling away United States securities law Financial regulation Financial system

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