Securities Commission - PDFSEARCH.IO - Document Search Engine

Securities Commission
Results: 40336

#	Item
601	Microsoft Word - StatementOfOrgAndOper_ADOPTED_09docx Add to Reading List Source URL: www.ethics.state.fl.us Language: English - Date: 2015-09-14 09:52:19 Florida Florida law Constitution of Florida Government of Florida U.S. Securities and Exchange Commission
602	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.CSCHEDULE 14A (RULE 14a-101) Add to Reading List Source URL: www.unipixel.com Language: English - Date: 2016-05-27 10:55:01
603	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 Add to Reading List Source URL: acta.org Language: English - Date: 2014-07-22 14:34:58
604	Rules Relating to Supplemental Report on SIPC Membership 17 C.F.R. § Adopted MarchSECURITIES INVESTOR Add to Reading List Source URL: www.sipc.org Language: English - Date: 2016-06-03 14:53:38 United States securities law Self-regulatory organizations Investment Securities Investor Protection Corporation Securities Investor Protection Act U.S. Securities and Exchange Commission Net capital rule
605	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CFORM 10-K [X] Add to Reading List Source URL: www.garmin.ae Language: English - Date: 2015-09-01 06:22:24
606	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CForm 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.fgb.net Language: English - Date: 2015-03-18 13:04:05
607	350 N. St. Paul Street Suite 1300 Dallas, Texaswww.apexclearing.com ANNUAL DISCLOSURE STATEMENT Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:12 Economy Finance Money Financial markets Self-regulatory organizations Stock market United States securities law Financial services Securities Investor Protection Corporation Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission
608	Low-Priced Securities Disclosure Low-Priced Securities (Penny and Sub Penny Stocks) The term “penny stock” generally refers to low-priced (below $5), speculative securities of very small companies. While penny stocks Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:18 Economy Stock market Finance Money Security U.S. Securities and Exchange Commission Day trading Settlement Penny stock Depository Trust & Clearing Corporation Short
609	What you should know about... Financial Advisers An investor education and protection program from the Investor Protection Institute Add to Reading List Source URL: www.iinvest.org Language: English - Date: 2016-02-12 16:57:51 Economy Finance Money Personal finance Professional certification in finance Financial planners Financial adviser Investment Certified Financial Planner U.S. Securities and Exchange Commission Adviser Securities Investor Protection Corporation
610	Edition 8 Markets Regulation Client Newsletter – August 2015 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information prepared Add to Reading List Source URL: cib.rbs.com Language: English Systemic risk Royal Bank of Scotland Group Financial markets Corporate law European Market Infrastructure Regulation Commodity Futures Trading Commission Derivative DoddFrank Wall Street Reform and Consumer Protection Act Over-the-counter RBS Securities Royal Bank of Scotland Securities regulation in the United States

UPDATE