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Municipal Securities Rulemaking Board
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101	SEC-58 SYSTEM NAME: System for Enforcement Case Tracking and Routing (SECTR). SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street, NE, Washington, DC[removed]Files may also be maintained in the Commission’ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-02 15:22:52 Securities Exchange Act United States Securities and Exchange Commission Financial regulation U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Freedom of Information Act Municipal Securities Rulemaking Board Security United States securities law Government 73rd United States Congress
102	#..SEC-4 System name: Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of[removed]SEC. System location: Securities and Exchange Commission, Washington, DC 20 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 14:53:51 United States Securities and Exchange Commission Government Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Security Municipal Securities Rulemaking Board United States securities law Financial regulation 73rd United States Congress
103	#..SEC-27 System name: Name Relationship Search Index (NRSI) System location: Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail, Stop O-4, Alexandria, VA[removed]. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:25:46 Corporate crime U.S. Securities and Exchange Commission Financial economics Securities regulation in the United States Municipal Securities Rulemaking Board Securities and Exchange Commission Security Securities Exchange Act Securities Fraud Deterrence and Investor Restitution Act United States securities law Government Financial regulation
104	SEC-63 SYSTEM NAME: Tips, Complaints, and Referrals (TCR) Records. SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street, NE, Washington, DC[removed]Files may also be maintained in the Commission’s Regional Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-07-21 17:41:07 United States Securities and Exchange Commission Government Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Financial economics Municipal Securities Rulemaking Board Security United States securities law Financial regulation 73rd United States Congress
105	Comments on SR-MSRB[removed]These comments are being submitted on behalf of a registered Investment Adviser (RIA) and Municipal Advisor (MA). In short, we believe that individuals who are Chartered Financial Analyst (CFA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-30 13:25:17 Business Financial economics Investment Financial services Municipal Securities Rulemaking Board CFA Institute Financial adviser Uniform Investment Adviser Law Exam Registered Investment Advisor Financial planning Professional certification in finance Chartered Financial Analyst
106	Microsoft Word - SIFMA Model G-17 Underwriter Disclosure Letter[removed] Add to Reading List Source URL: www.sifma.org Language: English - Date: 2012-07-18 12:29:07 Finance Stock market Actuarial science Insurance Underwriting Bond Municipal Securities Rulemaking Board Issuer Regulation S-K Financial economics Securities Economics
107	#..SEC-35 System name: Securities Violations Records and Bulletin--SEC. System location: Securities and Exchange Commission, 450 Fifth Street NW, Washington, DC[removed]Copies of the Securities Violations Bulletin are als Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 14:00:56 Financial regulation Government Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Municipal Securities Rulemaking Board Securities and Exchange Commission Security United States securities law 73rd United States Congress United States Securities and Exchange Commission
108	#..SEC-13 System name: No-action and Interpretative Letters--SEC. System location: Securities and Exchange Commission, Washington, DC[removed]Categories of individuals covered by the system: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:11:34 73rd United States Congress United States Securities and Exchange Commission Self-regulatory organizations Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Municipal Securities Rulemaking Board United States securities law Financial regulation Government
109	Microsoft Word - SORN- 62.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-05 11:08:29 Financial economics 73rd United States Congress United States Securities and Exchange Commission Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Municipal Securities Rulemaking Board United States securities law Financial regulation Government
110	Microsoft Word - SIFMA_Letterhead_NY Add to Reading List Source URL: www.sifma.org Language: English - Date: 2014-11-10 08:34:17 Self-regulatory organizations Bonds Securities Securities Industry and Financial Markets Association Bond market Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Merrill Lynch Financial economics Investment Finance

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