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Broker-dealer
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41	March 7, 2016 VIA E-MAIL & FEDERAL EXPRESS Richard G. Ketchum Chairman and Chief Executive Officer of FINRA 1735 K Street, NW Washington, DC 20006 Add to Reading List Source URL: www.laxneville.com Language: English - Date: 2016-08-17 11:46:38 Self-regulatory organizations Financial Industry Regulatory Authority United States securities law Arbitration Federal Arbitration Act Securities regulation in the United States Broker-dealer Selling away
42	Corporates & Markets Global Economy and Capital Markets ForumMarch 2016 Add to Reading List Source URL: cbcm.commerzbank.com Language: English - Date: 2016-03-18 11:52:36 Commerzbank Frankfurt Brexit Corporate bond Emerging markets BRIC Market Broker-dealer Eurohypo
43	Rules Regarding Closeout or Completion of Open Contractual Commitments Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 Investment Financial markets United States securities law Systemic risk Securities Investor Protection Corporation Repurchase agreement Securities Exchange Act Broker-dealer Net capital rule
44	Clarksons Platou Securities Add to Reading List Source URL: www.hansa-online.de Language: English - Date: 2015-12-01 04:17:25 Financial markets Securities Exchange Act Securities market Security Short Broker-dealer
45	MEDIA RELEASE Instinet Offers Integrated Access to Luminex Buyside Liquidity Tools through Newport® 3 NEW YORK – May 3, 2016 – Instinet Incorporated (Instinet) today announced that its US brokerage subsidiary, Inst Add to Reading List Source URL: www.nomuraholdings.com Language: English - Date: 2016-05-05 20:34:29 Stock market Nomura Computer networking Instinet Financial markets Financial services Inet Nomura Group Broker-dealer Dark liquidity
46	Statement of Proposed Testimony of Stephen P. Harbeck President and Chief Executive Officer Securities Investor Protection Corporation Before the Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 Investment Securities Investor Protection Corporation United States securities law Madoff investment scandal Bernard Madoff U.S. Securities and Exchange Commission Broker-dealer Madoff Recovery of funds from the Madoff investment scandal Securities Investor Protection Act
47	Licensing & Registration Service BOAT DEALER MANUAL MD Department of Natural Resources Add to Reading List Source URL: dnr.maryland.gov Language: English - Date: 2016-08-15 14:01:39 Maryland Department of Natural Resources Excise Yacht broker Tax Surety bond
48	CLIENT SUCCESS STORY INSTITUTIONAL BROKER DEALER SELECTS KeepItSafe TO COMPLY WITH INDUSTRY REGULATIONS Trusts and recommends KeepItSafe for proactive service and experience in the brokerage industry. Add to Reading List Source URL: www.keepitsafej2.co.uk Language: English - Date: 2016-08-18 06:15:35 Backup software Backup Business continuity and disaster recovery Cloud storage Remote backup service Investment banking
49	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-28 09:59:16 Commodity markets Financial markets 76th United States Congress Institutional investors Exchange-traded fund Futures contract Commodity pool operator U.S. Securities and Exchange Commission Broker-dealer Financial adviser Investment Advisers Act Commodity Futures Trading Commission
50	Plaintiff, by her attorneys, alleges, upon personal knowledge as to herself and her own acts, and upon information and belief as to all other matters, and based upon the investigation made by and through her attorneys, t Add to Reading List Source URL: securities.stanford.edu Language: English - Date: 2016-07-24 20:18:15 Financial markets Electronic communication network Payment for order flow Broker-dealer Order Algorithmic trading Best execution Brokerage firm Short MT4 ECN Bridge Dark liquidity