Net capital rule - PDFSEARCH.IO - Document Search Engine

Net capital rule
Results: 731

#	Item
181	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 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-15 06:29:33 73rd 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
182	Vol. 78 Wednesday, No. 162 Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2013-08-21 03:28:32 Financial regulation United States Securities and Exchange Commission Financial markets 73rd United States Congress Net capital rule United States housing bubble Broker-dealer Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Investor Protection Corporation Financial economics Finance United States securities law
183	Summary for non-specialists Economic Papers No[removed]June 2013 Economic Papers index The bonsai and the gardener: using flow data to better assess financial sector leverage Add to Reading List Source URL: ec.europa.eu Language: English - Date: 2014-10-07 04:43:55 Economics Leverage Debt Net capital rule DuPont analysis Financial ratios Financial economics Finance
184	Consolidated Financial Results For the First Quarter of the Fiscal Year Ending March 31, 2015 (For the Three Months Ended June 30, 2014) Prepared in Conformity with Generally Accepted Accounting Principles in Japan Engli Add to Reading List Source URL: www.mazda.com Language: English - Date: 2014-07-30 04:11:36 Business Income statement Balance sheet Cash flow statement American Recovery and Reinvestment Act Account Nova Enron scandal Net capital rule Accountancy Finance Financial statements
185	Microsoft Word[removed]Regulation 125 Changes - November 2010.doc Add to Reading List Source URL: www.wjammer.com Language: English - Date: 2014-11-19 12:24:03 Financial services Finance Funds Collective investment schemes Dodd–Frank Wall Street Reform and Consumer Protection Act Money market fund Investor Protection and Securities Reform Act Credit rating agency Net capital rule Financial economics Investment Economics
186	Interim Final Rule: Retail Foreign Exchange Transactions Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2011-08-22 17:55:35 Financial economics Finance Foreign exchange companies Spot market Net capital rule Broker-dealer Commodity Futures Trading Commission Electronic trading platform Exchange rate Economics Foreign exchange market Financial markets
187	APPENDIX PAGE HOME RULE INVESTMENT POLICY…………………………….. 1 Add to Reading List Source URL: www.treasurer.il.gov Language: English - Date: 2013-04-26 12:07:38 Funds Financial services United States housing bubble Specialized investment fund Net capital rule Dodd–Frank Wall Street Reform and Consumer Protection Act Hedge fund Financial economics Investment Finance
188	Broker-Dealer Risk Assessment Program: In a report dated August 13, 2003, the Office of the Inspector General made several recommendations concerning the management of filings by broker-dealers pursuant to the risk asse Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Financial markets Financial regulation Net capital rule United States housing bubble Bank regulation Investment Broker-dealer Capital requirement Basel II Financial economics Finance Financial system
189	Finding the law of finders proves to be SEC mysetery Add to Reading List Source URL: www.duanemorris.com Language: English - Date: 2012-09-20 10:50:11 Financial regulation Financial services 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Net capital rule Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics United States securities law Finance
190	Sutherland[removed]Avenue of the America 4omFloor New York, NY[removed]tel202[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-05-25 11:48:17 Investment Financial markets Financial institutions Retirement Annuity Net capital rule Life annuity Life insurance Prudential Financial Financial economics Insurance Finance

UPDATE