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General Securities Representative Exam
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51	South Carolina Code of Regulations[removed]Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives. Examinations for securities agents. A passing grade on an examination appropriat Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial services Finance Financial adviser General Securities Representative Exam Uniform Investment Adviser Law Exam Uniform Combined State Law Exam Uniform Securities Agent State Law Exam Registered Investment Advisor Financial planner United States securities law Professional certification in finance Financial economics
52	Page 24 of 59 Exhibit 3a SR-FINRA[removed]General Securities Principal Qualification Examination Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 08:24:10 Financial system Registered Investment Advisor Financial Industry Regulatory Authority Registered representative Securities Exchange Act Financial adviser Self-regulatory organization Broker-dealer General Securities Principal Exam United States securities law Financial economics Finance
53	finra_logoname_std_bw_solid.eps Add to Reading List Source URL: www.finance.idaho.gov Language: English - Date: 2014-07-30 11:39:13 Professional certification in finance Business Economy of the United States United States General Securities Representative Exam Trade Reporting And Compliance Engine United States securities law Self-regulatory organizations Financial Industry Regulatory Authority
54	South Carolina Code of Regulations[removed]Examinations for Securities Agents, Investment Advisers, and Investment Adviser Representatives. Examinations for securities agents. A passing grade on an examination appropriat Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial services Finance Financial adviser General Securities Representative Exam Uniform Investment Adviser Law Exam Uniform Combined State Law Exam Uniform Securities Agent State Law Exam Registered Investment Advisor Financial planner United States securities law Professional certification in finance Financial economics
55	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]August 5, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiven Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 08:23:52 Financial system Finance Financial Industry Regulatory Authority General Securities Principal Exam General Securities Representative Exam Securities Exchange Act Securities research U.S. Securities and Exchange Commission Financial analyst United States securities law Professional certification in finance Financial economics
56	Page 28 of 63 Exhibit 3a SR-FINRA[removed]General Securities Principal Qualification Examination Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 08:23:55 Finance Financial system General Securities Principal Exam Registered Investment Advisor Financial Industry Regulatory Authority Investment Banking Exam General Securities Representative Exam Registered representative Securities Exchange Act United States securities law Professional certification in finance Financial economics
57	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: edgar.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
58	Daniel Covello: Order Approving Application for Relief from a Statutory Disqualification Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-02-13 11:29:31 Financial system U.S. Securities and Exchange Commission Financial Industry Regulatory Authority General Securities Representative Exam Registered representative Securities Exchange Act Broker-dealer Security Securities and Exchange Commission United States securities law Financial economics Finance
59	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION April 4, 2014 SECURITIES EXCHANGE ACT OF 1934 Release No[removed]April 4, 2014 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-04-07 12:44:01 Financial regulation U.S. Securities and Exchange Commission John Toland Wells notice General Securities Representative Exam Securities Exchange Act United States United States securities law United States Securities and Exchange Commission Financial Industry Regulatory Authority
60	1 Tips to Protect Yourself from Financial Marketing Schemes February 5, 2014 Resources Add to Reading List Source URL: www.msuextension.org Language: English - Date: 2014-02-05 11:22:44 Professional certification in finance Economy of the United States Business United States Investment Banking Exam General Securities Representative Exam United States securities law Self-regulatory organizations Financial Industry Regulatory Authority