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Securities Exchange Act
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321	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-11-20 09:00:46 Economy Finance Money United States securities law Self-regulatory organizations Crowdfunding Entrepreneurship U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Jumpstart Our Business Startups Act Securities Investor Protection Corporation Broker-dealer
322	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-03-16 14:21:04 Economy Finance Financial regulation Investment Industry Regulatory Organization of Canada Business Canadian Securities Institute U.S. Securities and Exchange Commission Canadian securities regulation Securities Act Bankruptcy Universal Market Integrity Rules Exempt market dealer
323	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-03-11 08:46:03 Financial regulation Investment Industry Regulatory Organization of Canada Canadian Securities Institute U.S. Securities and Exchange Commission Canadian securities regulation Securities Act Universal Market Integrity Rules Exempt market dealer
324	NOTICE OF REQUEST FOR PUBLIC COMMENTS REGARDING A PROPOSED NEW MULTISTATE FORM U-1 AND A REVISED FORM U-2 April 1, 2016 Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-04-01 14:43:03 U.S. Securities and Exchange Commission United States securities law Stock market 73rd United States Congress Corporate crime Securities Act SEC filing Security Regulation A Prospectus North American Securities Administrators Association
325	Microsoft Word - What FinCEN AML Proposal Means For Crowdfunding Platforms.docx Add to Reading List Source URL: www.arnoldporter.com Language: English - Date: 2016-04-14 12:31:47 Crowdfunding Tax evasion Terrorism Equity crowdfunding Stock market U.S. Securities and Exchange Commission Financial Crimes Enforcement Network Broker-dealer Security Jumpstart Our Business Startups Act Securities Exchange Act Securities regulation in the United States
326	March 8, 2016 By E-Mail: Chair Mary Jo White Commissioner Michael Piwowar Commissioner Kara Stein Add to Reading List Source URL: www.ussif.org Language: English - Date: 2016-03-08 12:06:46 Finance Money Economy U.S. Securities and Exchange Commission 73rd United States Congress Systemic risk Corporate crime Securities Exchange Act US SIF Specialized investment fund DoddFrank Wall Street Reform and Consumer Protection Act Mutual fund
327	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 Add to Reading List Source URL: avionics.avmap.it Language: English - Date: 2015-02-19 04:09:05 Business Economy Professional studies Conflict resource Minerals Distribution Supply chain management Management Tantalum DoddFrank Wall Street Reform and Consumer Protection Act 3T Supply chain
328	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-07-28 15:48:39 Economy United States securities law Finance Money Employee Retirement Income Security Act Fiduciary North American Securities Administrators Association U.S. Securities and Exchange Commission Financial adviser Financial Industry Regulatory Authority DoddFrank Wall Street Reform and Consumer Protection Act Employee Benefits Security Administration
329	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 Add to Reading List Source URL: online.tatacapital.com Language: English - Date: 2011-04-06 01:53:41
330	STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT STATEMENT OF INFORMATION FOR FINDER PURSUANT TO SECTIONof the California Corporations Code DBO) Add to Reading List Source URL: www.dbo.ca.gov Language: English - Date: 2015-12-31 12:19:18 Finance Economy Money U.S. Securities and Exchange Commission United States securities law 73rd United States Congress Securities Act Broker-dealer Regulation D Securities regulation in the United States

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