following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services
Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013, the Office of the Securities and Exchange Commission hereby issues the following regulations
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SEC Search Search From : Home > Search > Search Results search: Sitemap Any Sitemap About SEC ( 3 ) Toward International Excellence ( 2 ) Documents Any Documents aspx ( 3 ) http://172.19.1.196:8983
SEC Search Search From : Home > Search > Search Results search: Sitemap Any Sitemap About SEC ( 2 ) Toward International Excellence ( 2 ) Documents aspx ( 2 ) http://172.19.1.196:8983/solr/secweb