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General Securities Representative Exam
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11	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 13, 2015 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-13 12:02:52 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer Trade Reporting And Compliance Engine Self-regulatory organization Security Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
12	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
13	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
14	LICENSING RENEWAL INSTRUCTIONS Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-08-21 21:50:28 Business Financial adviser Investment Registered Investment Advisor Financial Industry Regulatory Authority Financial services U.S. Securities and Exchange Commission Investment banking General Securities Representative Exam United States securities law Finance Financial economics
15	Chapter 1 So You Want to Sell Securities: Introducing the Series 7 Exam AL Add to Reading List Source URL: media.wiley.com Language: English - Date: 2013-09-01 13:13:00 Financial economics Business General Securities Representative Exam Registered representative Uniform Combined State Law Exam Uniform Securities Agent State Law Exam Financial Industry Regulatory Authority Financial adviser Stock broker United States securities law Professional certification in finance Education
16	Wachovia Securities, LLC - CO Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:43:13 United States securities law Wells Fargo Wachovia Merrill Lynch Financial Industry Regulatory Authority Churning Broker-dealer General Securities Representative Exam Lanham Financial economics Investment Finance
17	Joseph R. Karsner, IV - CO Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 12:00:02 Institutional investors United States securities law Professional certification in finance Mutual fund General Securities Representative Exam Financial economics Investment Financial services
18	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:35:28 United States securities law Professional certification in finance Security Stock market Life annuity Annuity Registered Investment Advisor General Securities Representative Exam Financial economics Investment Finance
19	Statutory Disqualification Decision SD09005 Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:42:24 Registered representative U.S. Securities and Exchange Commission Securities Exchange Act General Securities Representative Exam United States Financial economics Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
20	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:37:39 Financial regulation United States Financial system United States securities law Securities Act General Securities Representative Exam

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