PPT-Colorado Division of Securities

Department of Regulatory Agencies March 13 2015 David B Swafford Chief Examiner Financial Planning Association of Colorado The Examination To Fear Or Not to Fear Gerald Rome Securities Commissioner. and Margo A Sloan Respondents Order Num er S0500405CO01 CONSENT ORDER INTRODUCTION Pursuant to the Franchise Investm nt Prot ection Act of W shington RCW 19100 the Securities Division of the Departm nt of Financial Instituti ons and Respondents Dry Division of Investment Management ACCEPTANCE OF GIFTS OR ENTERTAINMENT BY FUND ADVISORY PERSONNEL — )(1) OF THE INVESTMENT COMPANY ACTIn furtherance of the Division’s mission to protect inve Unwelcome Mats Help Keep Bears Wild COlOraDO ivisiOn Of WilDlife • 6060 Broadway, Denver, CO 80216 • (303) 297-1192 • www.wildlife.state.co.us/bears Check Regulations Before Inst 1 DEPARTMENT OF FINANCIAL INSTITUTIONS Securities Division PO Box 9033 Olympia, WA 98507 - 9033 360 - 902 - 8760 1 2 3 4 5 6 7 8 9 10 11 13 14 15 1 6 17 18 19 20 21 22 23 24 25 STATE OF WASHINGTON DEP u.s.. magistrate judge. July 25, 2014. JURY TRIALS in . usdc. /. colorado. Recent numbers. Year. Criminal Trials. Civil Trials (Bench and Jury). 2010. 23. 39. 2011. 16. 46. 2012. 23. 75. The 2013 Numbers. Connie Lawson. Indiana Securities Division Update. May 18, 2017. Alex Glass. Indiana Securities Commissioner. The Indiana Securities Division. DISCLAIMER:. This presentation is intended for educational purposes only. Statements of fact and opinions expressed are those of the presenter individually and not the opinion or position of the Secretary of State’s office. The actual state laws should be thoroughly reviewed and an attorney specializing in securities law should be consulted before taking action in this area. . National Asian Pacific American Bar Association 2017 Convention. Anita B. Bandy, U.S. Securities and Exchange . Commission. Jina. L. Choi, U.S. Securities and Exchange Commission. David C. Lee, K&L Gates LLP. National Asian Pacific American Bar Association 2017 Convention. Anita B. Bandy, U.S. Securities and Exchange . Commission. Jina. L. Choi, U.S. Securities and Exchange Commission. David C. Lee, K&L Gates LLP. Bryan Cowley, Director of Licensing and Registration, Utah Division of Securities. Amy J. Oliver, Senior Trial Counsel, Securities and Exchange Commission. Division of Securities - Disclaimer. The Division of Securities disclaims responsibility for any private publication or statement of any Division employee or commissioner. . IA Examination Program Overview Maryland Securities Division 200 St. Paul Place Baltimore, MD 21202 Office of the Attorney General, Maryland Division of Securities Surprise Examination This means aaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaaa Name School Yr. Hometown GPA if.if.Ta Dylan Duresky**Colorado MesaJr.Aurora, Colo.3.65Landman/Energy Management if.if.llif.if.R-if.ty Page 1 of 3 December 31 1986 are tax-deferred for both state and federal income tax purposes For Contribution Statement please visit wwwcoperaorg or contact a PERA representative at 303-832-9550 or 1 This statement represents the views of the staff of the Division of Examinations It is not a rule regulation or statement of the US Securities and Exchange Commission SEC The Commission has neither ap Commercial Business the late fee shall not be imposed on a vehicle subject to taxation if the person who owns the vehicle uses the vehicle in operating a commercial business and as part of the normal