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Registered representative
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71	VIA ELECTRONIC MAIL May 14, 2013 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NW Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-15 09:45:34 Finance Financial markets United States Securities and Exchange Commission 73rd United States Congress U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Securities Act Registered representative Broker-dealer Financial economics United States securities law Financial system
72	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 4, 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 16:45:36 Financial system Investment 76th United States Congress Investment Advisers Act Registered Investment Advisor U.S. Securities and Exchange Commission Financial adviser Registered representative Securities Exchange Act Financial economics United States securities law Finance
73	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 13, 2015 Admin. Proc. File No[removed]In 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
74	VIA ELECTRONIC MAIL February 12, 2015 SEC Investor Advisory Committee c/o Brent J. Fields Secretary, Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-11 18:37:02 Business Financial Industry Regulatory Authority Registered Investment Advisor Financial adviser ACT U.S. Securities and Exchange Commission Registered representative Selling away United States securities law Finance Financial economics
75	SR-EDGA[removed]Exhibit 5 Page 26 of 37 EXHIBIT 5 Proposed new language is underlined; proposed deletions are in [brackets]. CHAPTER I. ADOPTION, INTERPRETATION AND APPLICATION OF RULES, AND Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:53:11 Finance Securities Exchange Act Securities Act General Securities Representative Exam Registered representative Financial Industry Regulatory Authority Regulation S-K Registered Investment Advisor United States securities law Financial regulation Financial economics
76	www.fmgdata.com Proven Market Expertise: Our Strength. Your Advantage. By providing comprehensive access to registered representatives, broker dealers, RIA’s, IAR’s, as well as insurance licensed professionals, we h Add to Reading List Source URL: ww1.prweb.com Language: English - Date: 2011-03-16 16:49:52 Insurance broker Insurance Finance Economics Financial economics Registered representative United States securities law
77	SR-EDGX[removed]Exhibit 5 Page 26 of 37 EXHIBIT 5 Proposed new language is underlined; proposed deletions are in [brackets]. CHAPTER I. ADOPTION, INTERPRETATION AND APPLICATION OF RULES, AND Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:55:17 Finance Securities Exchange Act Securities Act General Securities Representative Exam Financial Industry Regulatory Authority Registered representative Regulation S-K Registered Investment Advisor United States securities law Financial regulation Financial economics
78	Rev[removed]NETWORKING AGREEMENT This Agreement is entered into as of ____________, 20____ (“The Effective Add to Reading List Source URL: www.ocif.gobierno.pr Language: English - Date: 2013-05-03 09:46:15 Finance Financial services Financial Industry Regulatory Authority Broker-dealer Insurance Registered representative United States securities law Financial economics Investment
79	LICENSING RENEWAL INSTRUCTIONS Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-08-21 21:50:28 Business Financial adviser Investment Registered Investment Advisor Financial Industry Regulatory Authority Financial services U.S. Securities and Exchange Commission Investment banking General Securities Representative Exam United States securities law Finance Financial economics
80	COMMISSIONER OF FINANCIAL INSTITUTIONS COMMONWEALTH OF PUERTO RICO MEMORANDUM To: Add to Reading List Source URL: www.ocif.gobierno.pr Language: English - Date: 2013-05-03 09:48:48 Financial system Investment Financial services Registered Investment Advisor Occupations Financial adviser Registered representative Broker-dealer Puerto Rico Financial economics United States securities law Finance

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