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Registered representative
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#	Item
31	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 4, 2015 Admin. Proc. File No Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-03-04 12:27:49 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Registered representative Broker-dealer General Securities Principal Exam SEC Rule 10b-5 United States securities law Financial economics Financial system
32	License Agreement for Software Important - read carefully. This License Agreement is a legal agreement between you (either as a registered individual licensee or as the representative on behalf of a single entity) and Pe Add to Reading List Source URL: anet.bplaced.net Language: English - Date: 2011-11-12 05:09:59 Multi-licensing Application software Software Proprietary software End-user license agreement Software licenses Computer law Law
33	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 13, 2015 Admin. Proc. File NoIn 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
34	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 17, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-17 11:14:33 Financial system Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Registered representative H.D. Vest Broker-dealer Securities Exchange Act Financial adviser Self-regulatory organization United States securities law Financial economics Finance
35	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 10, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-10 15:51:13 Financial economics Financial system Finance Financial services Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Registered representative United States securities law 73rd United States Congress United States Securities and Exchange Commission
36	Statement Concerning representation This form can be used to designate a representative who is established in the Netherlands when the holder of a Netherlands’ registered aircraft is established outside the Netherlands Add to Reading List Source URL: ilent.nl Language: English - Date: 2015-05-11 08:59:45
37	Letter of Guarantee (Note) When a company/organization is extending an invitation, fill out the name of the company/organization as well as your title and affix, and put the registered seal of the representative, or non Add to Reading List Source URL: www.ph.emb-japan.go.jp - Date: 2013-02-20 20:34:28
38	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-BYXApril 16, 2015 Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-16 13:53:08 Financial system Financial Industry Regulatory Authority Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Selling away Registered Investment Advisor United States securities law Business Financial regulation
39	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-FINRAMarch 24, 2015 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: 2015-03-24 13:19:34 Business Financial services Financial regulation Financial Industry Regulatory Authority Investment Banking Exam General Securities Representative Exam Registered representative General Securities Principal Exam U.S. Securities and Exchange Commission United States securities law Professional certification in finance Self-regulatory organizations
40	Regulatory Notice 11-19 Books and Records Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-01-07 09:38:16 Finance Financial Industry Regulatory Authority Securities Exchange Act Registered representative Securities regulation in the United States Self-regulatory organization Financial adviser Broker-dealer Registered Investment Advisor United States securities law Financial economics Financial system

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