Financial Services and Markets Authority - PDFSEARCH.IO - Document Search Engine

Financial Services and Markets Authority
Results: 490

#	Item
271	Statement of Albert R. Counselman, CPCU, President & CEO, Riggs, Counselman, Michaels & Downes, Inc. Before a Hearing of the House Financial Services Subcommittee on Capital Markets, Insurance and Government Sponsored E Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 United States federal banking legislation Finance Institutional investors Insurance broker Financial Industry Regulatory Authority Insurance Gramm–Leach–Bliley Act U.S. Securities and Exchange Commission Financial regulation Financial institutions Investment Financial economics
272	Prepared, not delivered Opening Statement Chairman Michael G. Oxley Committee on Financial Services Subcommittee on Capital Markets, Insurance Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Finance Financial regulation Self-regulatory organizations Financial services Financial markets U.S. Securities and Exchange Commission NASDAQ Broker-dealer Financial Industry Regulatory Authority Financial economics United States securities law Financial system
273	Ref. Ares[removed][removed]EUROPEAN COMMISSION Directorate General Internal Market and Services FINANCIAL INSTITUTIONS Insurance and pensions Add to Reading List Source URL: ec.europa.eu Language: English - Date: 2014-08-25 06:10:59 Financial economics Investment European Union law Economy of the European Union European Insurance and Occupational Pensions Authority Markets in Financial Instruments Directive Institutions for Occupational Retirement Provision Directive Public–private partnership Undertakings for Collective Investment in Transferable Securities Directives European Union directives Law European Union
274	VIA Electronic Submission Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC[removed] Add to Reading List Source URL: www.otcmarkets.com Language: English - Date: 2014-07-02 10:22:25 Business United States Securities and Exchange Commission 73rd United States Congress Self-regulatory organizations Financial services OTC Markets Group Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission United States securities law Finance Financial economics
275	FEDERAL RESERVE SYSTEM 12 CFR Parts 207, 220, 221, 224 and 265 [Regulations G, T, U and X; Docket Nos. R-0905, R-0923 and R[removed]Securities Credit Transactions; Borrowing by Brokers and Dealers AGENCY: Board of Governor Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2002-06-19 13:36:15 Business Financial services United States securities law Prime Brokerage Broker-dealer Short Regulation T Securities market Financial Industry Regulatory Authority Financial economics Financial markets Finance
276	Division of Trading and Markets No-Action Letter: Financial Industry Regulatory Authority, Re: Broker-Dealers Holding Cash in a Reserve Account at a Non-Affiliated U.S. Branch of a Foreign Bank under Rule 15c3-3 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-02-27 12:07:47 Financial markets Financial services Primary dealers Broker-dealer Fixed income market U.S. Securities and Exchange Commission Bank UBS Net capital rule Financial economics Investment Finance
277	Outsourcing and operational risk management Risk management is of critical importance to financial institutions, financial markets, and the regulators and supervisors charged with preserving the safety and soundness of t Add to Reading List Source URL: www.cyberlaw.com Language: English - Date: 2011-07-29 11:50:07 European Commission Financial system Business European Union law Lamfalussy process Committee of European Securities Regulators Financial Services Action Plan Basel II Financial Services Authority Financial regulation European Union Financial markets
278	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC[removed]DIVISJON OF TRADING AND MARKETS Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-02-27 12:08:50 Financial markets Financial services Fixed income market United States securities law Bonds Securities Industry and Financial Markets Association Broker-dealer Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Financial economics Financial system Finance
279	2014 Exam Priorities Overview Add to Reading List Source URL: www.cecouncil.com Language: English - Date: 2014-08-11 13:46:00 United States securities law Stock market Financial markets Financial services Financial Industry Regulatory Authority Securities Exchange Act Structured product Investment banking U.S. Securities and Exchange Commission Financial economics Finance Business
280	Unsolicited Quote Entry Form Complete this form and fax it to OTC Markets Group at[removed]to submit for publication unsolicited quotes for a new security in OTC Link. A registered principal of the firm must sign t Add to Reading List Source URL: www.otcmarkets.com Language: English - Date: 2011-01-15 08:49:08 United States securities law Stock market Financial markets Financial services United States Securities and Exchange Commission Financial Industry Regulatory Authority OTC Bulletin Board OTC Markets Group Securities Exchange Act Financial economics Finance Investment

UPDATE