General Securities Representative Exam - PDFSEARCH.IO - Document Search Engine

General Securities Representative Exam
Results: 176

#	Item
21	Statutory Disqualification Decision SD09005 Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:54:22 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
22	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER PROVIDING FOR EXAMINATIONS OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES 1973 Act Reference: Rule[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:57:39 Financial services Finance Financial adviser Uniform Investment Adviser Law Exam Uniform Combined State Law Exam Uniform Securities Act Chartered Financial Analyst General Securities Representative Exam Securities Act United States securities law Professional certification in finance Financial economics
23	COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed] Add to Reading List Source URL: sos.ga.gov Language: English - Date: 2013-02-01 14:52:32 United States Financial economics Uniform Securities Agent State Law Exam General Securities Representative Exam Investment Banking Exam Registered representative Financial Industry Regulatory Authority Uniform Securities Act Securities Act United States securities law Professional certification in finance Financial services
24	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
25	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
26	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
27	BrokerCheck Report SCOTT MICHAEL BORUFF CRD# [removed]Report #[removed], data current as of Wednesday, July 27, 2011. Add to Reading List Source URL: www.thestreetsweeper.org Language: English - Date: 2011-07-28 11:07:16 Financial Industry Regulatory Authority Finance General Securities Representative Exam Financial adviser U.S. Securities and Exchange Commission Securities regulation in the United States Selling away Registered Investment Advisor United States securities law Financial economics Business
28	Notice of Hearing[removed]Re: Bemelekot Woldeyes Tewahade Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2015-01-20 16:46:52 Registered representative General Securities Representative Exam Business Economy of the United States Financial economics United States securities law Financial Industry Regulatory Authority Mutual Fund Dealers Association
29	Financial Education How to Evaluate and Select a Financial Services Advisor The financial markets are becoming increasingly complex, and many of us may feel ill-prepared to make informed decisions on what to do. Seeking Add to Reading List Source URL: www.michigan.gov Language: English - Date: 2014-09-23 13:04:17 Finance Financial services Registered Investment Advisor Financial adviser Professional certification in finance Investment Advisers Act Registered representative Financial planner General Securities Representative Exam Financial economics United States securities law Investment
30	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 6, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 08:34:28 Business Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Registered representative Securities regulation in the United States General Securities Principal Exam Broker-dealer United States securities law Financial economics Financial system