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Securities Exchange Act
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331	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
332	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
333	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: www.tatacapital.com Language: English - Date: 2015-03-17 00:12:58
334	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
335	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
336	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 00:36:36 Stock market Securities and Exchange Board of India Security Securities market Qualified institutional placement Motilal Oswal Group
337	HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER California Department of Business Oversight 1515 K Street, Suite 200 Sacramento, CA 95814 Add to Reading List Source URL: www.dbo.ca.gov Language: English - Date: 2016-02-16 18:00:19 Economy Finance Money United States securities law Corporate crime U.S. Securities and Exchange Commission Uniform Investment Adviser Law Exam Financial adviser Patent application Financial Industry Regulatory Authority Broker-dealer Investment Advisers Act
338	SECURITIES INVESTOR PROTECTION CORPORATION 2015 Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-06-03 14:53:27 Finance Money Economy Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Corporate crime Securities Investor Protection Act DoddFrank Wall Street Reform and Consumer Protection Act Broker-dealer U.S. Securities and Exchange Commission
339	No of US fed sec cl ac law fi pr yr 08_12 Add to Reading List Source URL: www.carolinasclassaction.com Language: English - Date: 2016-04-13 13:06:36 Stock market 107th United States Congress SarbanesOxley Act United States corporate law U.S. Securities and Exchange Commission Securities Class Action Initial public offering Citigroup Class action Security Accounting Securities Exchange Act
340	APEX CLEARING CORPORATION AND/OR BROKER DEALERS FOR WHICH IT CLEARS CUSTOMER MARGIN AND SHORT ACCOUNT AGREEMENT This Customer Margin and Short Account Agreement (the “Agreement”) sets forth the respective rights and Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-13 20:46:45 Economy Finance Money Financial markets Securities Investor Protection Corporation Broker-dealer Securities Exchange Act Short Deposit account Security Margin Customer

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