Finra corp bonds
[DOC File]Financial Planning Information
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Securities offered through 1st Global Capital Corp., Member FINRA, SIPC. Investment advisory services offered through 1st Global Advisors, Inc.. Insurance services offered through 1st Global Insurance Services, Inc. Financial Planning Information. HeimLantz
[DOC File]You asked me to summarize the recent actions by the ...
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FINRA resulted when the regulatory functions of the NASD and New York Stock Exchange merged in 2007. Testimony by Christopher Cox, Chairman, Securities and Exchange Commission, before the Senate Committee on Banking, Housing and Urban Affairs, April 3, 2008. (“At all times during the week of March 10 – 17, up to and including the time of ...
[DOCX File]cdn.ymaws.com
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FINRA is a Self-Regulatory Organization authorized by the Securities Exchange Act of 1934, to establish and enforce standards of conduct of broker-dealers and their registered representatives. 15 U.S.C. §§ 78f, 78o-3. As an SRO, FINRA is subject to oversight by the …
[DOC File]RK Wealth Management
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Securities and investment advisory services are offered solely through registered representatives and investment advisor representatives of Ameritas Investment Corp. (AIC), a registered Broker/Dealer, Member FINRA/SIPC and a registered investment advisor. AIC is not affiliated with RK Wealth Management, LLC or Midwest Financial Solutions, LLC. Additional products and services may be …
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