Securities commission - PDFSEARCH.IO - Document Search Engine

Securities commission
Results: 40336

#	Item
581	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
582	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
583	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.CFORM 20-F (Mark One) Add to Reading List Source URL: alibabagroup.com Language: English - Date: 2016-05-24 23:00:00
584	ALABAMA SECURITIES COMMISSION 770 Washington Ave., Suite 570 Montgomery, AlabamaMail: Post Office BoxTelephone: (orFax: (Email: Website: Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2013-11-18 14:01:52 Economy Finance Money Stock market Financial regulation Spamming Ponzi scheme Securities fraud High-yield investment program Affinity fraud Pump and dump Mutual fund
585	State agency to investors: Prepare for Ebola-related scams - Birmingham Business Journal Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2014-11-03 15:05:47 Microbiology Medicine Economy Animal virology Biological weapons Ebola Tropical diseases Zoonoses Ebola virus disease Internet fraud Investor Securities commission
586	MEDIA RELEASE International Organization of Securities Commissions Organisation internationale des commissions de valeurs Organização Internacional das Comissões de Valores Organización Internacional de Comisiones d Add to Reading List Source URL: www.iosco.org Language: English - Date: 2016-04-06 11:49:16 Economy Financial regulation International Organization of Securities Commissions Government Systemic risk Finance Securities commission Securities Commission of New Zealand Security Trinidad and Tobago Securities and Exchange Commission Canadian Securities Administrators
587	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
588	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
589	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
590	PDF Document Add to Reading List Source URL: www.ct.gov Language: English - Date: 2016-05-16 13:03:41 Primary dealers Banking Great Depression International finance Tax evasion UBS Performance management Financial Industry Regulatory Authority U.S. Securities and Exchange Commission

UPDATE