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Department of Insurance, Securities and Banking
 

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Publications

E.g., 2016-06-26
E.g., 2016-06-26
06/10/2016

This order excludes certain private fund advisers from District securities licensing requirements.

SEC ADO

ADO

SB-09-16
02/03/2016

This order excludes venture capital investment advisers from District securities licensing requirements.

SEC ADO

ADO

SB-08-16
05/27/2015

Steven D. Yarn and Yarn & Company, Inc. Administrative Consent Agreement and Order

SEC ADO

ADO

SC# SB-SC-06-15
04/01/2015

J.P. Morgan Chase Securities, LLC, Administrative Order

SEC ADO

SB-CO-04-15
02/20/2015

Success Trade Securities, Inc., Administrative Consent Order

SEC ADO

SB-CO-03-15
01/30/2015

This order provided temporary relief from the registration requirements for “exempt reporting advisers.” The order was in effect from January 1 through December 31, 2015.

...

SB-15-01
04/30/2014

Preston Wealth Management, LLC and Alexander Preston Cole

SEC ADO

SB-NOI-10-13
04/23/2014

Notice of Intent: Success Trade Securities, Inc., Success Trade Inc., and Fuad Ahmed

...

SB-NOI-02-14-R
03/13/2014

KBR Capital Markets, LLC

SEC ADO

SC # SB-CO-15-13
03/12/2014

Obsidian Financial Group, LLC

SEC ADO

SC # SB-CO-16-13

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