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| FAR Issue Vol. 40/No. 112 | Section III | |
| Issue Date: June 10, 2014 | ||
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| Total number of notices in Section III: 7 |
| Notice / Adopted |
Description | ID | Publish Date |
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Disclosure of Business Activities in Cuba | 14666999 |
6/10/2014 Vol. 40/112 |
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Filing - Notification Registration Including Shelf Filings | 14666805 |
6/10/2014 Vol. 40/112 |
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Fingerprint Requirements, Rules of Conduct, Prohibited Business Practices for Dealers and Their Associated Persons, Prohibited Business Practices for Investment Advisers and Their Associated Persons, .... | 14666611 |
6/10/2014 Vol. 40/112 |
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Disclosure Requirements of Section 517.061(11)(a)3., F.S, Unsolicited Purchase or Sale of Securities Pursuant to Section 517.061(13), F.S, Exemption/Charitable Contributions to Pooled Income Funds, Exemption .... | 14666126 |
6/10/2014 Vol. 40/112 |
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Financial Statements and Reports | 14665350 |
6/10/2014 Vol. 40/112 |
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Advertising and Sales Literature | 14665253 |
6/10/2014 Vol. 40/112 |
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Registration of Securities, Filing of Prospectus, Promoters Equity Investment Ratio, Voting Rights, Options or Warrants Granted Underwriters, Options and Warrants to Officers, Employees and Others, Preferred .... | 14663798 |
6/10/2014 Vol. 40/112 |
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