AvMap Conflict-Metal-Free Policy Carrara, 2014 October 20th Dear Supplier, dear Customer, on August 22nd, 2012 the Securities and Exchange Commission (SEC) published regulations implementing the conflict minerals reporti

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• Business
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• DoddFrank Wall Street Reform and Consumer Protection Act
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NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org

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Edition 2 Markets Regulation Client Newsletter - February 2015 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information prepared as of

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• Systemic risk
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PR NoCaution to investors The Securities and Exchange Board of India (“SEBI”) is a regulatory body established by an Act of Parliament to protect the interests of investors in the securities market, to prom

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STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT STATEMENT OF INFORMATION FOR FINDER PURSUANT TO SECTIONof the California Corporations Code DBO)

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• 73rd United States Congress
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Dated: July 1, 2014 In connection with the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Securities and Exchange Commission has adopted certain rules governing the definition, registration, and regulatio

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Rules Relating to Supplemental Report on SIPC Membership 17 C.F.R. § Adopted MarchSECURITIES INVESTOR

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• United States securities law
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• Investment
• Securities Investor Protection Corporation
• Securities Investor Protection Act
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• Net capital rule

PR NoCaution to investors The Securities and Exchange Board of India (“SEBI”) is a regulatory body established by an Act of Parliament to protect the interests of investors in the securities market, to prom

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CForm 10-K žANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

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350 N. St. Paul Street Suite 1300 Dallas, Texaswww.apexclearing.com ANNUAL DISCLOSURE STATEMENT

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