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Financial Services and Markets Authority
Results: 490

#	Item
301	S[removed]H.R[removed]M&A Brokers - Highlights and History[removed]docx Add to Reading List Source URL: amaaonline-public.sharepoint.com Language: English - Date: 2014-02-19 14:48:54 Financial services Financial markets United States securities law Business broker U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Warner Norcross & Judd Broker-dealer Stock broker Business Financial economics Finance
302	Thomas M. Selman Executive Vice President Corporate Financing/ Investment Compantes Regulation Financial Industry Regulatory Authority Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-10 14:13:36 Law Finance Financial markets Financial services Stock market Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Broker-dealer Real estate broker Business United States securities law Financial economics
303	Comment Letter on File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-09 13:22:46 Financial system United States securities law Financial services Stock market Self-regulatory organizations Securities Exchange Act Alternative Trading Systems U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial markets Financial economics Investment
304	filed via e-mail to [removed] Ms. Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C[removed]Re: File No. S7-08-07 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-07-13 10:53:40 Financial markets Stock market Financial services United States securities law Net capital rule Financial Industry Regulatory Authority Broker-dealer U.S. Securities and Exchange Commission Investment banking Financial economics Finance Business
305	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-07-11 17:51:13 Finance Financial system Self-regulatory organizations Financial services United States Securities and Exchange Commission Broker-dealer Securities Exchange Act Financial Industry Regulatory Authority Security United States securities law Financial economics Financial markets
306	o LCH.CLEARNET Elizabeth M. Murphy Secretary of the Commission Securities and Exchange Commission 100 F Street. NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-04 12:21:04 LCH.Clearnet Financial markets 111th United States Congress Financial Services Authority Clearing house Autorité des marchés financiers Dodd–Frank Wall Street Reform and Consumer Protection Act Clearing Financial regulation Financial economics Finance Financial system
307	UBS Financial Services Inc[removed]Harbor Blvd. Weehawken, NJ 07086 UBS Add to Reading List Source URL: www.sec.gov Language: English* - Date: 2014-04-18 09:34:14 United States securities law Financial Industry Regulatory Authority Financial markets Financial services UBS Financial adviser Broker-dealer U.S. Securities and Exchange Commission Yield spread premium Financial economics Investment Finance
308	2011-ESMA-379 AIFMD FINAL advice Add to Reading List Source URL: www.esma.europa.eu Language: English - Date: 2014-08-29 22:14:12 Finance European Union Financial services Financial regulation Markets in Financial Instruments Directive Undertakings for Collective Investment in Transferable Securities Directives Collective investment scheme European Insurance and Occupational Pensions Authority Solvency II Directive Financial economics European Union directives Investment
309	De Nederlandsche Bank NV and Stichting Autoriteit Financiële Markten Information form for Third-Country Investment Firms inquiry Authors: Ms M.M. Ruppert, Pension boards and organisation. Add to Reading List Source URL: www.toezicht.dnb.nl Language: English - Date: 2014-07-31 08:02:02 European Union directives Financial services European Union Financial regulation Markets in Financial Instruments Directive Netherlands Authority for the Financial Markets Collective investment scheme Financial economics Investment Finance
310	A review of requirements for firms entering into or expanding in the banking sector Add to Reading List Source URL: www.bankofengland.co.uk Language: English - Date: 2013-03-26 06:57:26 Law Financial Services Authority Basel II Prudential Regulation Authority Markets in Financial Instruments Directive Bank Financial Services and Markets Act United Kingdom Economy of the United Kingdom Financial regulation

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