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Net capital rule
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11	Statement of Financial Condition Add to Reading List Source URL: primebroker.com Language: English - Date: 2015-08-27 11:43:46 U.S. Securities and Exchange Commission United States securities law Financial markets 73rd United States Congress Broker-dealer Fixed income market Securities Exchange Act Margin Net capital rule Securities Act
12	PDF Document Add to Reading List Source URL: www.us.daiwacm.com Language: English - Date: 2016-01-14 23:58:13 Financial markets Stock market United States securities law Self-regulatory organizations Broker-dealer Fixed income market Order Financial Industry Regulatory Authority Security Net capital rule Manning rule
13	Microsoft Word - SAFER_issue_brief19.docx Add to Reading List Source URL: www.peri.umass.edu Language: English - Date: 2011-11-21 16:43:39 Financial services Investment United States housing bubble Financial markets Investment banking Leverage Net capital rule Late-2000s financial crisis Hedge fund Financial economics Economics Finance
14	Right to Rent: The Best Response to the Housing Crash Add to Reading List Source URL: www.peri.umass.edu Language: English - Date: 2011-11-21 16:43:39 Subprime mortgage crisis Debt Leverage Hedge fund Investment banking Derivative Federal Reserve System Capital requirement Net capital rule Financial economics Finance Economics
15	Division of Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-01-09 16:41:46 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer U.S. Securities and Exchange Commission Investment Advisers Act Short Net capital rule Financial economics Financial markets Finance
16	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoApril 7, 2015 The U.S. Securities and Exchange Commission announced the temporary suspension of trading Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-07 06:36:14 Finance Financial system 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Security Form 144 Net capital rule United States securities law Financial economics United States Securities and Exchange Commission
17	State Office of Administrative Hearings and Rules Add to Reading List Source URL: www.michigan.gov Language: English - Date: 2015-05-18 14:23:40 Public finance Law Business Financial regulation Regulatory Flexibility Act Net capital rule Costs Cost–benefit analysis Decision theory
18	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. PCAOBFebruary 12, 2014 Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules, Standards for Attestation Engageme Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-12 18:00:07 Corporate governance Finance United States corporate law United States securities law Economy of the United States Public Company Accounting Oversight Board Net capital rule Sarbanes–Oxley Act Audit Auditing Accountancy Business
19	Please note that the comments expressed herein are solely my personal views Securities and Exchange Commission 100 F Street, N.E. Washington, DCUnited States Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-20 07:35:36 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Economy of the United States United States Commodity Futures Modernization Act Net capital rule United States securities law 73rd United States Congress United States Securities and Exchange Commission
20	No-Action Letter: Financial Industry Regulatory Authority Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2009-09-02 10:39:19 Corporate taxation in the United States Types of business entity Financial system Financial services Net capital rule United States housing bubble Broker-dealer Financial Industry Regulatory Authority Series LLC Financial economics United States securities law Finance

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