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51	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-07 16:26:10 Financial markets Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Short Securities regulation in the United States Market maker
52	For UBS marketing purposes. Not for further distribution. For Professional Clients/Institutional Investors and Eligible Counterparties only. Managed performance. Trading actively managed certificates on UBS Neo Add to Reading List Source URL: about-neo.ubs.com Language: English - Date: 2016-07-24 13:26:57 Financial services Tax evasion Investment banks Great Depression UBS Warburg family Broker-dealer UBS tax evasion controversy BTG Pactual
53	FEE WORKING GROUP REPORT ON ACCESSIBILITY AND STANDARDIZATION OF MISCELLANEOUS BROKER-DEALER FEES FOR RETAIL CUSTOMERS A collaborative and voluntary effort for the purpose of promoting accessible, standardized, and trans Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-09-28 08:43:05 Financial services Payment systems Broker-dealer Fixed income market Fee Franchising Brokerage firm Credit card Broker
54	January 5, 2016 Introduction FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts Add to Reading List Source URL: www.finra.org Language: English - Date: 2016-01-04 17:32:29 United States securities law Self-regulatory organizations Financial Industry Regulatory Authority Broker-dealer Structured product U.S. Securities and Exchange Commission Investment banking Financial analyst Registered representative Brokerage firm ACT Securities regulation in the United States
55	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-05-02 16:10:56 Financial markets Stock market 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission International Securities Exchange Futures contract Broker-dealer Short Securities regulation in the United States Security
56	Barclays LX ATS monthly volume summary July 2016 Add to Reading List Source URL: www.investmentbank.barclays.com Language: English - Date: 2016-08-08 13:13:01 Barclays Financial markets Financial services Investment banking Broker-dealer Market liquidity Dark liquidity
57	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 13:19:30 76th United States Congress 73rd United States Congress U.S. Securities and Exchange Commission Financial markets Futures contract Broker-dealer Investment Advisers Act Derivative Securities Exchange Act Financial adviser Security Securities Act
58	Rules Relating to Accounts Introduced by Other Brokers or Dealers 17 C.F.R. §§Adopted October 1978 Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Stock market Security Financial markets Net capital rule Broker-dealer
59	Statement of Financial Condition In accordance with requirements of the Securities and Exchange Commission (the “SEC”) under SEC Rule 17a-5, the audited Statement of Financial Condition as of December 31, 2012 of BNP Add to Reading List Source URL: primebroker.com Language: English - Date: 2015-08-27 11:43:46 U.S. Securities and Exchange Commission United States securities law Financial markets 73rd United States Congress Broker-dealer Fixed income market Securities Exchange Act Margin Net capital rule Securities Act
60	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.keepitsafe.com Language: English - Date: 2016-08-18 06:15:35 Backup software Backup Business continuity and disaster recovery Cloud storage Remote backup service Investment banking