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#	Item
21	The Investment Adviser “Switch” A Report on the 2012 Transition of Mid-Sized Investment Advisers from Federal Registration to Missouri State Regulation August 2012 Missouri Securities Division Add to Reading List Source URL: www.sos.mo.gov Language: English - Date: 2015-06-10 16:04:14 Economy Finance Money Registered Investment Adviser Financial adviser Financial services U.S. Securities and Exchange Commission Securities regulation in the United States Securities Act Adviser DoddFrank Wall Street Reform and Consumer Protection Act Broker-dealer
22	December 22, 2006 Matt Daigler Office of the Chief Counsel Division of Market Regulation The Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.euroirp.com Language: English - Date: 2007-04-23 12:56:19 Economy Financial services Finance Money Soft dollar Broker-dealer Securities research Commission sharing agreement U.S. Securities and Exchange Commission Financial adviser
23	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-02 10:01:58 Economy Finance Money Financial markets Broker-dealer Fixed income market Securities Exchange Act Futures contract
24	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-03-24 16:47:55 Economy Finance Money U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States Broker-dealer
25	Microsoft Word - CSA_CCA_Final amendeddoc Add to Reading List Source URL: www.euroirp.com Language: English - Date: 2008-02-19 08:50:40 Economy Finance Money Financial services Financial markets Financial institutions Commission sharing agreement Soft dollar Brokerage firm Broker-dealer Investment Investment banking
26	2013 IA Switch Audit Report A Report Summarizing the Missouri Securities Division’s 2013 IA Switch Firm Audit Findings and Associated Suggested Best Practices December 2013 Missouri Securities Division Add to Reading List Source URL: www.sos.mo.gov Language: English - Date: 2015-06-09 15:07:56 Economy Finance Money 76th United States Congress Investment Advisers Act Financial services Financial adviser U.S. Securities and Exchange Commission DoddFrank Wall Street Reform and Consumer Protection Act Securities and Exchange Commission Broker-dealer Securities Act
27	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-30 10:07:06 Economy Finance Money Financial markets Broker-dealer U.S. Securities and Exchange Commission Securities Exchange Act Order Short
28	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-03-01 14:50:34 Economy Finance Money Financial markets Direct Edge Securities Exchange Act Options Clearing Corporation Broker-dealer Short U.S. Securities and Exchange Commission Securities regulation in the United States
29	Barclays LX Enhancements US July 2016 Add to Reading List Source URL: www.investmentbank.barclays.com Language: English - Date: 2016-08-02 04:08:04 Economy Finance Money Barclays Financial markets Financial services Clan Barclay Investment banking Broker-dealer Trading room
30	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-01 11:44:31 Economy Finance Money Financial markets Broker-dealer U.S. Securities and Exchange Commission Securities Exchange Act Order Short