Uniform Investment Adviser Law Exam

Results: 46



#Item
1APCM_Staff Supplemental 4 panel Web_July2016.indd

APCM_Staff Supplemental 4 panel Web_July2016.indd

Add to Reading List

Source URL: www.apcm.net

Language: English - Date: 2016-08-08 21:03:57
2HOW TO REGISTER AS A CALIFORNIA REGISTERED INVESTMENT ADVISER California Department of Business Oversight 1515 K Street, Suite 200 Sacramento, CA 95814

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
3Pre-Evaluated List 2014.xlsx

Pre-Evaluated List 2014.xlsx

Add to Reading List

Source URL: cdn.assets-phoenix.net

Language: English - Date: 2015-05-04 17:59:57
4User Guidance  www.adviserinfo.sec.gov Investment Adviser Representative Public Disclosure Report

User Guidance www.adviserinfo.sec.gov Investment Adviser Representative Public Disclosure Report

Add to Reading List

Source URL: freebeacon.com

Language: English - Date: 2015-03-04 14:27:47
5COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER PROVIDING FOR EXAMINATIONS OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES 1973 Act Reference: Rule[removed]

COMMISSIONER OF SECURITIES STATE OF GEORGIA UNIFORM ACT IMPLEMENTATION ORDER[removed]ORDER PROVIDING FOR EXAMINATIONS OF INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES 1973 Act Reference: Rule[removed]

Add to Reading List

Source URL: sos.ga.gov

Language: English - Date: 2013-02-01 14:57:39
6RULE Office of the Governor Office of Financial Institutions Investment Adviser Registration Procedure (LAC 10:XIII[removed]The Office of the Governor, Office of Financial Institutions, in accordance with the

RULE Office of the Governor Office of Financial Institutions Investment Adviser Registration Procedure (LAC 10:XIII[removed]The Office of the Governor, Office of Financial Institutions, in accordance with the

Add to Reading List

Source URL: www.ofi.louisiana.gov

Language: English - Date: 2008-12-04 10:42:35
7Comments on SR-MSRB[removed]These comments are being submitted on behalf of a registered Investment Adviser (RIA) and Municipal Advisor (MA). In short, we believe that individuals who are Chartered Financial Analyst (CFA

Comments on SR-MSRB[removed]These comments are being submitted on behalf of a registered Investment Adviser (RIA) and Municipal Advisor (MA). In short, we believe that individuals who are Chartered Financial Analyst (CFA

Add to Reading List

Source URL: www.sec.gov

Language: English - Date: 2014-12-30 13:25:17
8Illinois Secretary of State Securities Department Instructions for Registration as an Investment Adviser

Illinois Secretary of State Securities Department Instructions for Registration as an Investment Adviser

Add to Reading List

Source URL: www.cyberdriveillinois.com

Language: English - Date: 2012-02-06 10:25:40
9ALABAMA SECURITIES COMMISSION 401 ADAMS AVENUE, SUITE 280 MONTGOMERY, ALABAMA[removed]MAIL: POST OFFICE BOX[removed]MONTGOMERY, AL[removed]TELEPHONE[removed]

ALABAMA SECURITIES COMMISSION 401 ADAMS AVENUE, SUITE 280 MONTGOMERY, ALABAMA[removed]MAIL: POST OFFICE BOX[removed]MONTGOMERY, AL[removed]TELEPHONE[removed]

Add to Reading List

Source URL: www.asc.state.al.us

Language: English - Date: 2013-08-27 16:52:44
10UNIFORM FORMS REFERENCE GUIDE If you have questions or comments about the Form U-4 or the Form U-5, you may contact the following entities: Electronic Filing Information: Central Registration Depository (CRD)®, Web CRDS

UNIFORM FORMS REFERENCE GUIDE If you have questions or comments about the Form U-4 or the Form U-5, you may contact the following entities: Electronic Filing Information: Central Registration Depository (CRD)®, Web CRDS

Add to Reading List

Source URL: www.state.tn.us

Language: English - Date: 2013-02-13 10:39:01