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Net capital rule
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191	Testimony by Frank Speight, Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Venture capital Business Development Company U.S. Securities and Exchange Commission Finance Small Business Administration Business United States securities law Net capital rule Investment Private equity Financial economics
192	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 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-04 08:42:49 Financial 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
193	June 09, 2005 RE: File Number SR-NASD[removed]Dear Mr... Katz: This letter is in response to the NASD’s proposal to amend Rule 3011 on antimoney laundering (AML) compliance program, and the proposed adoption of new re Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-09-06 12:03:53 Financial system Finance Broker-dealer Fixed income market Broker United States securities law Net capital rule Financial economics Financial services Occupations
194	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 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-20 06:32:49 Financial 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
195	Study Regarding Obligations of Brokers, Dealers, and Investment Advisers Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-04 12:17:40 Investment Registered Investment Advisor Financial adviser Investment Advisers Act U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Securities and Exchange Commission Investment Adviser Association Net capital rule Financial economics Business Finance
196	OMB APPROVAL OMB Number: [removed]Expires: September 30, 2005 Estimated average burden hours per response[removed]25 Add to Reading List Source URL: www.dfi.wa.gov Language: English - Date: 2006-07-20 19:14:18 Finance Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Self-regulatory organization Financial Industry Regulatory Authority Net capital rule Registered Investment Advisor United States securities law Financial economics Financial system
197	Pruco Securities, LLC Statement of Financial Condition Add to Reading List Source URL: www.retire.prudential.com Language: English - Date: 2013-09-19 15:17:18 Generally Accepted Accounting Principles Net asset value Net capital rule Prudential Financial Fair value Valuation Asset Equity Liability Finance Business Accountancy
198	CSE-Sept14-9-7drft.er.doc Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Basel II Capital requirement Bank regulation Financial Services Authority Basel I International Organization of Securities Commissions Joint Forum Net capital rule Annette Nazareth Financial regulation Finance Financial system
199	Intercompany Transactions Section[removed]WHAT’S IN THIS SECTION This section was revised as of January 2008 to incorporate references to the Federal Reserve Board’s Regulation W, primarily with regard to Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2014-08-15 13:30:06 Finance Financial services 66th United States Congress Edge Act Gramm–Leach–Bliley Act Dodd–Frank Wall Street Reform and Consumer Protection Act Net capital rule Broker-dealer Bank holding company United States federal banking legislation Financial regulation Financial economics
200	Real_Estate_Additional_License.pdf Add to Reading List Source URL: www.dpr.delaware.gov Language: English - Date: 2014-10-13 22:26:06 Certified copy Real estate license Business Law Employment Real estate broker Net capital rule Real estate Broker Occupations

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