Securities and Exchange Commission December 7, 2016 – Federal Register Recent Federal Regulation Documents

CWM Advisors, LLC, et al.; Notice of Application
Document Number: 2016-29301
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC; Notice of Application
Document Number: 2016-29300
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
UBS Financial Services Inc.; Notice of Application
Document Number: 2016-29299
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Robert W. Baird & Co. Incorporated; Notice of Application
Document Number: 2016-29298
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions
Merrill Lynch, Pierce, Fenner & Smith Incorporated; Notice of Application
Document Number: 2016-29297
Type: Notice
Date: 2016-12-07
Agency: Securities and Exchange Commission, Agencies and Commissions