PPT-FINRA | SIPC

Author : olivia-moreira | Published Date : 2016-02-27

Caldera Gold Project July 2012 CONFIDENTIAL Advanced Volcanic GoldBearing Lahar Project in Sonora Mexico Investor Presentation Cappello Capital Corp Michael Stone

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FINRA | SIPC: Transcript


Caldera Gold Project July 2012 CONFIDENTIAL Advanced Volcanic GoldBearing Lahar Project in Sonora Mexico Investor Presentation Cappello Capital Corp Michael Stone Associate Cappello Capital Corp. A registered representative in this category may effect sales of private securities offerings only The Series 82 Examination does not qualify a registered representative in this category to effect sales of municipal or government securities or equit The Outline is intended to familiarize examination candidates with the range of subjects covered by the examination as well as the depth of knowledge required Sample questions are also included to acquaint candidates with the principal formats of mu Figure2:IPCofdifferentDECAlphamicroprocessors,normalizedtoEV4'sIPC.Inmostcases,byprovidingperfecthintsforthesimplercores(EV4,EV5,andEV4(OoO)),thesecorescanachieveaperformancecomparabletothatachievedby Podcast . November 3, . 2014. Disclaimer. This presentation is © 2014 Securities Arbitration Commentator, Inc. All rights reserved. No part of this document may be reproduced, transmitted or otherwise distributed in any form or by any means, electronic or mechanical, including by photocopying, facsimile transmission, recording, rekeying or using any information storage and retrieval system, without written permission from the Securities Arbitration Commentator, Inc. Any reproduction, transmission or distribution of this form or any of the material herein is prohibited and is in violation of US and international law. Securities Arbitration Commentator, Inc. expressly disclaims any liability in connection with use of this presentation or its contents by any third party. . FIRMA NATIONAL RISK MANAGEMENT . TRAINING CONFERENCE. FORT WORTH, TEXAS. March 25-29, 2012. Presented . by. :. Janice . J. Sackley, CFE . Deborah A. Austin, CTCP. Fiduciary Foresight, LLC SVP, Trust Compliance. Electronic . Communications . Archiving &. . Compliance for. Email - Social - IM . – SMS – Audio/Voice - Web. Undisputed . leader in social . media compliance . providing the industry’s most robust platform for the archival, surveillance, and analysis of all forms of electronic communications. Introducing Wunderlich Securities, Inc.. ECM Overview. Research. Institutional Sales and Trading. Investment Banking Overview. Institutional Fixed Income. Who is Wunderlich Securities, Inc.. . Broad based full service securities firm. Former . Deputy Regional Chief . Counsel . FINRA. . Department of . Enforcement. TAMING THE . FINRA. BEAST: . AN INSIDER’S PERSPECTIVE. Taming The Beast: . An Insider’s Perspective. Put Your Best Foot Forward…. “ Letters and Titles and Tags, Oh My!” FIRMA NATIONAL RISK MANAGEMENT TRAINING CONFERENCE FORT WORTH, TEXAS March 25-29, 2012 Presented by : Janice J. Sackley, CFE Deborah A. Austin, CTCP Fiduciary Foresight, LLC SVP, Trust Compliance Chris Mann* 302 - 423 - 4065 cmann@voyafa.com Steve Mercer* 302 - 270 - 2632 smer cer@voyafa.com Marianne LaRock - McGuckin ** 302 - 540 - 4052 mlmcguckin@voyafa.com Richard O’Neill * 302 - 900 Washington DCSECURITIES EXCHANGE ACT OF 1934Release No90476/ November 20 2020Admin Proc File No 3-18881In the Matter of the Application ofGOPI KRISHNA VUNGARALAFor Review of Disciplinary Action Takenb OATS Basics. 1. Topics. OATS Overview, Rules and Reporting Obligations. Order Reports. OATS Data Processing. Order Lifecycle Creation. Firm Responsibilities. Resources. 2. OATS Overview. What is OATS? . Russell D. Sacks. Jennifer D. Morton. Contents. What Regulators are Saying 2017 | June 28 2017. Introduction. 1. Securities Regulation. 1.1. Executive Order 13772 - Core Principles for Regulating the United States Financial System. Portfolio Management & Analysis, Financial Planning, & Wealth Transfer Strategies. 233 D Oil Well Road. Jackson, TN 38305. 731-664-2808 (P). 731-664-3174 (Fax). www.haynesbarker.com. Securities & Asset Management Offered Through LPL...

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