Net capital rule

Results: 731



#Item
15173rd United States Congress / Financial economics / Finance / Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Net capital rule / Form 144 / United States securities law / United States Securities and Exchange Commission / Financial regulation

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 15, 2014 The U.S. Securities and Exchange Commission (Commission) announced the temporary

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Source URL: www.sec.gov

Language: English - Date: 2014-09-15 06:29:33
152Financial economics / Finance / 73rd United States Congress / Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Net capital rule / Naked short selling / United States securities law / United States Securities and Exchange Commission / Financial regulation

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 4, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov

Language: English - Date: 2014-09-04 08:42:49
153Financial economics / Finance / 73rd United States Congress / Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Net capital rule / Form 144 / United States securities law / United States Securities and Exchange Commission / Financial regulation

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 18, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov

Language: English - Date: 2014-09-18 08:43:08
154Financial economics / Finance / 73rd United States Congress / Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Form 144 / Net capital rule / United States securities law / United States Securities and Exchange Commission / Financial regulation

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 20, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov

Language: English - Date: 2014-08-20 06:32:49
155Financial economics / Finance / 73rd United States Congress / Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Net capital rule / Form 144 / United States securities law / United States Securities and Exchange Commission / Financial regulation

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 18, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov.

Language: English - Date: 2014-09-18 08:43:08
156Financial economics / Finance / 73rd United States Congress / Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Net capital rule / Naked short selling / United States securities law / United States Securities and Exchange Commission / Financial regulation

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 4, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov.

Language: English - Date: 2014-09-04 08:42:49
157Business / Balance sheet / Valuation / Income statement / Statement of retained earnings / Federal Reserve System / Net capital rule / Finance / Accountancy / Financial statements

MISSOURI DEPARTMENT OF AGRICULTURE GRAIN REGULATORY SERVICES PROGRAM PO BOX 630, JEFFERSON CITY, MISSOURI[removed]4112 FAX[removed]

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Source URL: agriculture.mo.gov

Language: English - Date: 2013-12-19 13:50:56
158Financial markets / Exchange-traded fund / Net capital rule / Haircut / High-frequency trading / Short / SPDR / Broker-dealer / Futures contract / Financial economics / Investment / Finance

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 17, 2014 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2014-09-17 08:50:46
159Investment / United States housing bubble / Net capital rule / Asset / U.S. Bancorp / Securities Investor Protection Corporation / Federal Reserve System / Financial adviser / Equity / Finance / Financial economics / Business

STATEMENT OF FINANCIAL CONDITION June 30, 2014 The Company’s audited Statement of Financial Condition as of December 31, 2013, pursuant to Rule 17a-5, is available for examination at the Company’s office at

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Source URL: www.usbank.com

Language: English - Date: 2014-07-28 05:13:29
160Broker-dealer / Fixed income market / Soft dollar / Broker / Finance / Business / Net capital rule / Financial services / Occupations / Financial economics

Ohio Public Employees Retirement System Broker-Dealer Policy February 2014 TABLE OF CONTENTS I.

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Source URL: www.opers.org

Language: English - Date: 2014-02-26 15:47:44
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