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Uniform Securities Act
Results: 366

#	Item
321	IN THE COURT OF APPEALS OF MARYLAND ____________________ September Term, 2012 ____________________ No. 51 Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-06-27 16:22:24 Financial system Securities and Exchange Commission v. W. J. Howey Co. Security Financial Industry Regulatory Authority North American Securities Administrators Association U.S. Securities and Exchange Commission Securities regulation in the United States Uniform Securities Act Securities Act United States securities law Financial regulation Financial economics
322	INTERWOVEN_LEGAL_49397_1.DOCX Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-06-27 16:12:41 North American Securities Administrators Association Financial economics Securities Act Securities Exchange Act Securities regulation in the United States Uniform Securities Act Participants in the Madoff investment scandal United States securities law Financial regulation Financial system
323	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C[removed]0900 Fax: [removed]www.nasaa.org Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-12-13 09:38:00 Financial regulation North American Securities Administrators Association Uniform Securities Act Securities Act U.S. Securities and Exchange Commission Securities regulation in the United States Blue sky law Regulation D Security United States securities law Financial system Financial economics
324	Microsoft Word - Halliburton v Erica John Fund final brief[removed] Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-02-05 16:55:14 Financial economics Securities Litigation Uniform Standards Act Securities fraud U.S. Securities and Exchange Commission Private Securities Litigation Reform Act Financial Industry Regulatory Authority Merrill Lynch Pierce Fenner & Smith Inc. v. Dabit Securities Exchange Act SEC Rule 10b-5 United States securities law Law Financial regulation
325	IN THE SUPREME COURT OF THE STATE OF OREGON ) THE STATE OF OREGON by and ) through the Oregon State Treasurer and ) Multnomah County Circuit Court the Oregon Public Employee Retirement ) Case No[removed] Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-06-27 16:23:09 North American Securities Administrators Association Law John J. Bursch Citation signal United States securities law Oregon Supreme Court Uniform Securities Act
326	Microsoft Word - NASAA Comments on National Financial Literacy Strategy_110309.doc Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-06-27 16:04:24 Investor education North American Securities Administrators Association Finance Mark Connolly Securities Commission Financial literacy Canadian securities regulation Uniform Securities Act Economics United States securities law Financial regulation
327	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C[removed]0900 Fax: [removed]www.nasaa.org Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-06-27 16:07:38 Finance North American Securities Administrators Association Securities Exchange Act Securities regulation in the United States Financial adviser Broker-dealer Uniform Securities Act United States securities law Financial economics Financial system
328	Form U-1 Uniform Application to Register Securities Application to _____________________________________ of the State of ______________________ pursuant to Section _________________________________ of the _______________ Add to Reading List Source URL: www.ofi.state.la.us Language: English - Date: 2007-06-20 14:16:52 United States securities law Finance SEC filings Investment 73rd United States Congress Securities Act Prospectus Registration statement Security United States Securities and Exchange Commission Stock market Financial economics
329	MODEL ACCREDITED INVESTOR EXEMPTION UNIFORM NOTICE OF TRANSACTION NOTICE OF SALE OF SECURITIES PURSUANT TO ACCREDITED INVESTOR EXEMPTION ______________________________________________________________________________ 1. I Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-06-27 16:09:35 Security Stock market United States Securities and Exchange Commission United States securities law Accredited investor Securities Act Regulation D Financial economics Investment Finance
330	FORM ADV (Paper Version) UNIFORM APPLICATION FOR INVESTMENT ADVISER REGISTRATION AND REPORT BY EXEMPT REPORTING ADVISERS PART 1A Complete this form truthfully. False statements or omissions may result in denial of your Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-09-28 13:19:13 Business 76th United States Congress Investment Financial adviser SEC filings Registered Investment Advisor Investment Advisor Investment Company Act Securities Exchange Act Financial economics United States securities law Finance

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