CODE,CORP,SECURITIES,DIVISION 1,CORPORATE SECURITIES,LAW,REGULATION,NOTICE,FILING,REQUIREMENTS,AGENTS,BROKER DEALERS,INVESTMENT ADVISER,INVESTMENT,ADVISERS,HEADING,CHAPTER,LICENSING,UNLESS,PROVISIONS,CHAPTER 1,SECTION,PART NO,BROKER DEALER,SHALL,TRANSACTION,IN OR,INDUCE,ATTEMPT,PURCHASE,SECURITY,STATE,THE BROKER,DEALER,COMMISSIONER,CERTIFICATE,PERSON,CAPACITY,BEHALF,LICENSED,ISSUER,AGENT,RULES,EMPLOYMENT,C,CONSISTENT,REVIEW,DISCIPLINARY,HISTORIES,OF 1,THE EMPLOYMENT,TRANSFER,AMENDMENT,THE INFORMATION,FILED,TERMINATION OF EMPLOYMENT,EFFECTIVE,JANUARY 1,APPLICATION,CONSENT,SERVICE OF PROCESS,SUBDIVISION,INFORMATION,DETAIL,APPLICANT,PERSONS,RULE,SECURITIES EXCHANGE ACT OF,MEMBER,THE NEW YORK STOCK EXCHANGE,THE NYSE,ARCA,THE FINANCIAL,INDUSTRY,REGULATORY AUTHORITY,DENIED,PREDECESSOR,STATUTE,NOTIFICATION,SETTING,FORTH,NECESSARY,OFFICES,THE LOCATION,PRINCIPAL,OFFICE,LICENSURE,NATURE,THE BUSINESS,CONDUCTED,PROCEEDING,INSTITUTED,THE THIRD,BUSINESS DAY,THE DAY,THE CERTIFICATE,WHICHEVER,ORDER,DELAY,EFFECTIVENESS,PERIOD,BUSINESS DAYS,THE DELAY,THE PUBLIC INTEREST,DETERMINE,SHOULD,PROVISION,FINDS,WAIVER,BE IN,OPPORTUNITY,HEARING,ACCORDANCE,ADMINISTRATIVE PROCEDURE ACT,DIVISION 3,THE GOVERNMENT,SELF REGULATORY ORGANIZATION,STANDARDS,DISQUALIFICATION,FINDING,AFFECT,PRIOR,EFFECTIVE DATE,ORDER OF,BASIS,MEMBERSHIP,ORGANIZATION,90 DAYS,ADDITIONAL TIME,FILE,COMPLETE,CURRENT,CEASES,MEET,QUALIFICATIONS FOR,DAYS,EVENT,WITH RESPECT TO,ORGANIZED,THE SUCCESSOR,TRANSACT,BUSINESS,30 DAYS,RECEIPT,SHORTER,PERIOD OF TIME,DENYING,LOOKING,TOWARD,TERMINATE,45TH,ACTING,USURY,THE STATE,CONSTITUTION,CREATES,CLASS,ARTICLE,THE CONSTITUTION,SEPTEMBER 16,CENSURE,DENY,SUSPEND,MONTHS,REVOKE,DENIAL,SUSPENSION,REVOCATION,WHETHER,BECOMING,PARTNER,OFFICER,DIRECTOR,BRANCH MANAGER,EMPLOYED,DONE,WILLFULLY,CAUSED,MADE IN,REPORT,STATEMENT,IN THE LIGHT,CIRCUMSTANCES,FALSE,MISLEADING,MATERIAL FACT,OR REPORT,CONVICTED,PLED,NOLO CONTENDERE,FELONY,MISDEMEANOR,OR 2,CIVIL,ACTION,FINAL JUDGMENT,COURT,SHOWING,MORAL TURPITUDE,INVOLVED,THEFT,THE VIOLATION OF,TITLE 18 OF THE UNITED STATES,PERMANENTLY,ENJOINED,JUDGMENT,DECREE,JURISDICTION,EMPLOYEE,INVESTMENT COMPANY,BANK,INSURANCE COMPANY,PRACTICE,CONNECTION,ACTIVITY,SUBJECT TO,SECURITIES AND EXCHANGE,COMMISSION,ADMINISTRATOR OF,REGISTRATION,NATIONAL SECURITIES,ASSOCIATION,EXCHANGE,THE ASSOCIATION,OR 3,THE COMMISSION,ADMINISTRATOR,THE PROTECTION,INVESTOR,VIOLATED,THE SECURITIES ACT OF 1933,INVESTMENT ADVISERS ACT OF,INVESTMENT COMPANY ACT OF 1940,COMMODITY EXCHANGE ACT,THE FRANCHISE,DIVISION 5,CALIFORNIA,COMMODITY,DIVISION 4,STATUTES,COMMODITY FUTURES TRADING,BOARD OF TRADE,COMMODITY EXCHANGE,LIMITED,NEW YORK MERCANTILE EXCHANGE,THE CHICAGO MERCANTILE,CHICAGO BOARD OF TRADE,CHICAGO BOARD OPTIONS EXCHANGE,BOARD,AIDED,VIOLATION,ANY OTHER PERSON,REGULATIONS,ABOVE,FAILED,VIEW,VIOLATIONS,COMMITS,THE OTHER PERSON,HIS OR HER,SUPERVISION,SYSTEM,PREVENT,DETECT,PRACTICABLE,DUTIES,INCUMBENT,REASON,REASONABLE CAUSE,BELIEVE,NOT BEING,DIVISION,THE RULES,THE CASE,SIMILAR,SCHEME,THE STATE OF CALIFORNIA,FOREIGN,IMMEDIATELY,COURT ORDER,COMMISSIONERS,DATE,THE ORDER,POSITION,MANAGEMENT,CONTROL,PERFORMING,FUNCTIONS,COMMITTED,OMISSION,OFFENSE,NOTICES,AFTER JANUARY,FOR ANY,WHOM,CONTRARY,TERMS,PERMIT,EXERCISE,REASONABLE CARE,PETITION,COMMISSIONER FOR,REINSTATEMENT,REDUCTION,PENALTY,MODIFICATION,EXCEPT,EMPLOYER,COMMISSIONER OF,INTENTION,ENTER,REASONS,REQUEST,MATTER,DOWN,MAILING,NONE,VACATED,ORIGINAL,WRITTEN,EVEN THOUGH,POWERS,MEANS,MANIPULATIVE,FRAUDULENT,DEVICE,DEFINE,QUOTATION,ACTS,QUOTATIONS,CONTRAVENTION,INVESTORS,SAFEGUARDS,RESPONSIBILITY,LIMITATIONS,MINIMUM CAPITAL,RATIO,CAPITAL,AGGREGATE,INDEBTEDNESS,FIDELITY BOND,PARTY,CALL,STRADDLE,OPTION,PRIVILEGE,BUYING,SELLING,SECURITY CERTIFICATE,DEPOSIT,GROUP,INDEX,INTEREST,THE MARKET,VALUE,CURRENCY,RELATION,STRADDLE OPTION,ACCOUNT,REASON TO BELIEVE,ACTUALLY,POST,SURETY BOND,AMOUNT,TEN THOUSAND,DOLLARS,ORDERS,THE BOND,PREVIOUSLY,CANCELED,COVER,ENTIRE,LIEU,BOND,THE CODE,PROCEDURE,SUIT,ENFORCE,LIABILITY,THE CONTRACT,TRAINING,EXPERIENCE,TERMS OF EMPLOYMENT,DESIRABLE,MAY 1,CLASSIFY,TAKING,RELEVANT,MATTERS,TYPES OF BUSINESS,SOLD,PASS,EXAMINATIONS,PARTNERS,OFFICERS,SUPERVISORY,EMPLOYEES,TERM,DEFINED,BRANCH,MANAGERS,COMPLIANCE,STANDARDS OF TRAINING,ADDITION,FEES,REASONABLE,CHARGES,THE COST,DIRECTION,COSTS,OR COMMISSION,LOANS,CUSTOMERS,PERSONAL PROPERTY,BROKER,PROMOTE,EQUITABLE PRINCIPLES,TRADE,UNREASONABLE,RATES,GENERAL,PROTECT,REMOVE,PERFECT,MECHANISM,FREE,OPEN MARKET,NOTWITHSTANDING,OPINION,AUTHORIZED,ALL OVER,THE COUNTER,TRADING,OUTSIDE,SUSPENDED,PERIODS,BROKERAGE,MANNER,PERFORMANCE OF A CONTRACT,ISSUANCE,MARKET,WRITING,RESCINDED,TO BE CONTINUED,UNFAIR,UNJUST,WORK,FRAUD,SELLERS,RESCIND,THE ABSENCE,CHANGED,AFFILIATE,THE DEPARTMENT OF,JUSTICE,FINGERPRINTS,PURPOSE,THE EXISTENCE,RECORD,CONVICTION,ARREST,BAIL,OWN RECOGNIZANCE,PENDING TRIAL,TAKEN,FINGERPRINT,LIVE SCAN,TECHNOLOGY,THE HEALTH AND SAFETY,CODE B,RENDERED,