Registered representative - PDFSEARCH.IO - Document Search Engine

Registered representative
Results: 707

#	Item
91	Disciplinary and Other FINRA Actions Reported for September 2008 Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:52:11 Finance Financial Industry Regulatory Authority World Group Securities Trade Reporting And Compliance Engine Securities research U.S. Securities and Exchange Commission Securities regulation in the United States Registered representative ACT United States securities law Financial economics Business
92	Disciplinary and Other FINRA Actions Reported for September 2008 Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:50:55 Finance Financial Industry Regulatory Authority World Group Securities Trade Reporting And Compliance Engine Securities research U.S. Securities and Exchange Commission Securities regulation in the United States Registered representative ACT United States securities law Financial economics Business
93	DISCIPLINARY ACTIONS Disciplinary Actions Reported For January NASD Regulation, Inc. (NASD Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:50:12 Financial economics Financial Industry Regulatory Authority Mary Schapiro Merrill Lynch U.S. Securities and Exchange Commission Registered representative Raymond James Financial Security World Group Securities United States securities law Business Investment
94	Disciplinary and Other FINRA Actions Firm Suspended, Individual Sanctioned Aura Financial Services, Inc (CRD® #42822, Birmingham, Alabama) and Timothy Michael Gautney (CRD #[removed], Registered Principal, Birmingham, Ala Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 16:04:41 Financial system Financial Industry Regulatory Authority Securities regulation in the United States Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Securities research Registered representative World Group Securities Municipal Securities Rulemaking Board United States securities law Business Financial economics
95	PLEASE NOTE THE LATER CASE HISTORY OF THIS DECISION, FOLLOWING THE TEXT OF THE DECISION. BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of the Continued Membership Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-07 00:12:16 Financial regulation Financial system Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Securities Act Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
96	Disciplinary and Other FINRA Actions Firm Suspended, Individual Sanctioned Aura Financial Services, Inc (CRD® #42822, Birmingham, Alabama) and Timothy Michael Gautney (CRD #[removed], Registered Principal, Birmingham, Ala Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-06 23:17:30 Financial system Financial Industry Regulatory Authority Securities regulation in the United States Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Securities research Registered representative World Group Securities Municipal Securities Rulemaking Board United States securities law Business Financial economics
97	Microsoft Word - 71949617_1 Add to Reading List Source URL: documents.jdsupra.com Language: English - Date: 2013-07-08 04:50:02 Business Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Mary Schapiro Elisse B. Walter Registered representative Securities Exchange Act Securities regulation in the United States Financial adviser United States securities law Financial economics Financial system
98	PLEASE NOTE THE LATER CASE HISTORY OF THIS DECISION, FOLLOWING THE TEXT OF THE DECISION. BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of the Continued Membership Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:15:36 Financial regulation Financial system Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Securities Act Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
99	Microsoft Word - 71949617_1 Add to Reading List Source URL: www.jdsupra.com Language: English Business Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Mary Schapiro Elisse B. Walter Registered representative Securities Exchange Act Securities regulation in the United States Financial adviser United States securities law Financial economics Financial system
100	FINRA 2008 Year in Review and Annual Financial Report Investor protection. Market integrity[removed]K Street NW Washington, DC Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-03-21 18:46:46 Financial system Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Securities regulation in the United States Broker-dealer Registered representative Financial adviser United States securities law Financial economics Self-regulatory organizations

UPDATE