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North American Securities Administrators Association
Results: 518

#	Item
11	Microsoft WordASC-SERVICES-INFO-APPROVED Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2014-10-20 16:51:40 United States securities law Corruption Securities fraud Securities Commission of New Zealand Financial adviser Securities commission Security Professional certification in finance Canadian Securities Administrators North American Securities Administrators Association
12	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-11-20 09:00:46 Economy Finance Money United States securities law Self-regulatory organizations Crowdfunding Entrepreneurship U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Jumpstart Our Business Startups Act Securities Investor Protection Corporation Broker-dealer
13	NOTICE OF REQUEST FOR PUBLIC COMMENTS REGARDING A PROPOSED NEW MULTISTATE FORM U-1 AND A REVISED FORM U-2 April 1, 2016 Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-04-01 14:43:03 U.S. Securities and Exchange Commission United States securities law Stock market 73rd United States Congress Corporate crime Securities Act SEC filing Security Regulation A Prospectus North American Securities Administrators Association
14	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-09-24 16:02:07 United States securities law Financial regulation North American Securities Administrators Association Fiduciary DoddFrank Wall Street Reform and Consumer Protection Act Employee Benefits Security Administration Financial adviser Securities regulation in the United States Broker-dealer
15	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-07-28 15:48:39 Economy United States securities law Finance Money Employee Retirement Income Security Act Fiduciary North American Securities Administrators Association U.S. Securities and Exchange Commission Financial adviser Financial Industry Regulatory Authority DoddFrank Wall Street Reform and Consumer Protection Act Employee Benefits Security Administration
16	NOTICE OF REQUEST FOR PUBLIC COMMENTS REGARDING A PROPOSED NASAA MODEL RULE AND UNIFORM NOTICE FILING FORM FOR FEDERAL CROWDFUNDING OFFERINGS May 16, 2016 The North American Securities Administrators Association (“NAS Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-05-16 09:52:57
17	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-10-07 13:17:02 Self-regulatory organizations Financial services United States securities law Broker-dealer Fixed income market Brokerage firm Financial Industry Regulatory Authority
18	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-07-14 11:45:32 United States securities law Self-regulatory organizations Financial regulation Financial Industry Regulatory Authority North American Securities Administrators Association Law Business Economy
19	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-08-12 13:54:13 Economy Finance Money United States securities law 76th United States Congress Investment Advisers Act Registered Investment Adviser U.S. Securities and Exchange Commission Financial adviser North American Securities Administrators Association Brian Hamburger
20	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-11-03 14:35:23 Economy Financial regulation Finance Tax evasion Terrorism Money Money laundering Financial Crimes Enforcement Network United States Department of the Treasury Bank Secrecy Act Registered Investment Adviser Suspicious activity report

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