Net capital rule

Results: 731



#Item
241Financial 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 14, 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: 2014-08-14 06:22:49
242Financial 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 6, 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: 2014-08-06 06:19:21
243Financial 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 6, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the

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Source URL: www.sec.gov

Language: English - Date: 2014-08-06 06:18:24
244U.S. Securities and Exchange Commission / Security / Asia / Financial regulation / Financial economics / Net capital rule / Colombo / Colombo Stock Exchange / Economy of Sri Lanka

APPLICATION FOR TRADING MEMBERSHIP FOR DEBT SECURITIES OF THE COLOMBO STOCK EXCHANGE (CSE) The CSE invites applications for Trading Membership for Debt Securities of the CSE in terms of Article 3A of the Articles of Asso

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Source URL: www.cse.lk

Language: English - Date: 2013-10-10 08:47:30
245United States securities law / Investment / Self-regulatory organizations / Financial services / U.S. Securities and Exchange Commission / Registered Investment Advisor / Hedge fund / Net capital rule / Dodd–Frank Wall Street Reform and Consumer Protection Act / Financial economics / Finance / Financial system

National Examination Program Examination Priorities for 2014

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Source URL: edgar.sec.gov

Language: English - Date: 2014-01-09 13:27:51
246Financial statements / Fund accounting / Cash flow statement / Federal Reserve System / Income statement / Net asset value / Balance sheet / United States federal budget / Net capital rule / Accountancy / Finance / Business

Ohio Office of Budget and Management State of Ohio John R. Kasich

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Source URL: obm.ohio.gov

Language: English - Date: 2013-03-28 13:21:12
247Financial regulation / Securities Exchange Act / Government / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Finance / Municipal Securities Rulemaking Board / Net capital rule / United States securities law / United States Securities and Exchange Commission / 73rd United States Congress

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 11, 2014

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Source URL: edgar.sec.gov

Language: English - Date: 2014-07-11 08:43:41
248Financial 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]July 10, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: edgar.sec.gov

Language: English - Date: 2014-07-10 06:17:05
249Security / Insurance / SEC filings / Financial services / Net capital rule / Regulation S-K / Investment / Financial economics / Stock market

CONFIDENTIAL (Interim form) Monthly Report - United Nations Suppression of Terrorism Regulations (All provincially regulated entities dealing in securities, including portfolio management and investment counselling, mus

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Source URL: www.msc.gov.mb.ca

Language: English - Date: 2013-03-06 16:20:39
250Investment / Short / Federal Reserve System / Repurchase agreement / Broker-dealer / Money market / Security / Net capital rule / Prime brokerage / Financial economics / Financial markets / Finance

Broker-Dealer Finance and Financial Stability

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Source URL: www.bostonfed.org

Language: English - Date: 2014-09-05 15:13:36
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