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General Securities Representative Exam
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31	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]November 19, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change A Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-20 10:07:03 Economy of the United States 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 New York Stock Exchange United States securities law Financial system Financial regulation
32	SECURITIES AND EXCHANGE COMMISSION Washington D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 26, 2014 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-26 17:34:38 Finance Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Self-regulatory organization Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
33	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 17:44:51 Financial system Business U.S. Securities and Exchange Commission Self-regulatory organization General Securities Representative Exam Securities Exchange Act Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
34	194 of 199 EXHIBIT 5 Rule G-1: Separately Identifiable Department or Division of a Bank (a) Municipal Securities Dealer Activities. (i) A separately identifiable department or division of a bank, as such term is used in Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-02 09:32:54 Business Professional certification in finance Finance Financial adviser Investment Security General Securities Representative Exam Investor Protection and Securities Reform Act Registered Investment Advisor Financial economics United States securities law Stock market
35	Sikich_InvestmentBanking_Logo_white Add to Reading List Source URL: www.sikich.com Language: English - Date: 2014-09-23 15:21:59 Finance Securities Investor Protection Corporation Financial Industry Regulatory Authority Investment Banking Exam Investment banking U.S. Securities and Exchange Commission General Securities Representative Exam Financial services United States securities law Professional certification in finance Financial economics
36	Sikich_InvestmentBanking_Logo_white Add to Reading List Source URL: www.sikich.com Language: English - Date: 2014-09-23 15:18:32 Finance Investment Investment Banking Exam Securities Investor Protection Corporation Investment banking General Securities Representative Exam Financial Industry Regulatory Authority Venture capital United States securities law Professional certification in finance Financial economics
37	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-09-16 17:44:51 Financial system Business U.S. Securities and Exchange Commission Self-regulatory organization General Securities Representative Exam Securities Exchange Act Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
38	Sikich_InvestmentBanking_Logo_white Add to Reading List Source URL: www.sikich.com Language: English - Date: 2014-09-23 15:20:14 Business Finance General Securities Principal Exam Investment Banking Exam Financial Industry Regulatory Authority Investment banking U.S. Securities and Exchange Commission General Securities Representative Exam Securities Investor Protection Corporation United States securities law Professional certification in finance Financial economics
39	MICHIGAN STATE UNIVERSITY CO LL E GE O F Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-24 09:39:52 Business Financial economics Financial Industry Regulatory Authority Financial system U.S. Securities and Exchange Commission Financial adviser Selling away General Securities Representative Exam United States securities law Self-regulatory organizations Finance
40	SEC Opinion: John M.D. Saad Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-05-26 17:00:01 Financial system Government Registered representative Securities Exchange Act Saad Al-Abdullah Al-Salim Al-Sabah Self-regulatory organization U.S. Securities and Exchange Commission General Securities Representative Exam United States securities law Financial regulation Financial Industry Regulatory Authority