Number of matches: 147
21.
[2005] Title 710 Securities Division
(PDF)
...
of such broker-dealer. If such broker-dealer is a member
of the
National Association of Securities
Dealers, a statement to that effect may be made in lieu
of enumerating the capitalization
...
22.
[2003] Title 710 Securities Division
(PDF)
...
such broker-dealer is a member
of the
National Association of Securities
Dealers, a statement to that effect may be made in lieu
of enumerating the capitalization
of the broker-dealer.
(B
...
23.
[2010] 710 IAC 1 General Provisions
(PDF)
...
to make a market for the
securities, state name and capitalization
of such broker-dealer. If such broker-dealer is a member
of the
National Association of Securities Dealers, a statement
to
...
24.
[2009] 710 IAC 1 General Provisions
(PDF)
...
to make a market for the
securities, state name and capitalization
of such broker-dealer. If such broker-dealer is a member
of the
National Association of Securities Dealers, a statement
to
...
25.
[2006] 710 IAC 1 General Provisions
(PDF)
...
a member
of the
National Association of Securities Dealers, a statement
to that effect may be made in lieu
of enumerating the capitalization
of the broker-dealer.
(B) State the range
of the
...
26.
[2008] 710 IAC 1 General Provisions
(PDF)
...
such broker-dealer is a member
of the
National Association of Securities Dealers, a statement
to that effect may be made in lieu
of enumerating the capitalization
of the broker-dealer.
(B
...
27.
[2007] 710 IAC 1 General Provisions
(PDF)
...
a member
of the
National Association of Securities Dealers, a statement
to that effect may be made in lieu
of enumerating the capitalization
of the broker-dealer.
(B) State the range
of the
...
28.
[2023] 710 IAC 4 Uniform Securities
(PDF)
...
) notice
of hearing issued at the instance
of the commissioner.
(9) "
National securities association" means an
association registered with the U.S.
Securities and Exchange Commission
under
...
29.
[Latest Update] 710 IAC 4 UNIFORM SECURITIES
(PDF)
...
the instance
of the commissioner.
(9) "
National securities association" means an
association registered with the U.S.
Securities and Exchange Commission
under Section 15A
of the
Securities ...
30.
[2016] 710 IAC 4 Uniform Securities
(PDF)
...
issued at the instance
of the commissioner.
(9) "
National securities association" means an
association registered with the U.S.
Securities and Exchange Commission under
Section 15A
of the
...
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Number of matches: 147
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