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Net capital rule
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251	OMB APPROVAL Form BDW OMB Number: [removed] Add to Reading List Source URL: www.wvsao.gov Language: English - Date: 2012-03-29 08:00:40 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
252	Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2013-04-03 12:59:24 Financial markets United States securities law United States Securities and Exchange Commission Fixed income market Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Net capital rule Financial economics Financial system Investment
253	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 24, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-06-24 06:35:35 Financial regulation Finance 73rd United States Congress Securities Exchange Act Securities and Exchange Commission Net capital rule Form 144 United States securities law United States Securities and Exchange Commission Financial economics
254	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 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-08-06 06:18:24 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
255	Microsoft Word[removed]Summary of BD Reg Requirements.doc Add to Reading List Source URL: www.ndbf.ne.gov Language: English - Date: 2009-10-27 10:10:43 Finance Financial services Professional certification in finance Financial Industry Regulatory Authority Financial adviser Broker-dealer General Securities Principal Exam Registered Investment Advisor Net capital rule United States securities law Financial economics Business
256	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 17, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-06-16 20:03:24 Financial 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
257	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 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-08-14 06:22:49 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
258	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 8, 2014 INVESTMENT COMPANY ACT OF 1940 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-08-08 14:02:46 Financial system Net capital rule Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Financial Industry Regulatory Authority United States securities law Financial economics Financial regulation
259	Alternative Energy, Inc. and SK3 Group, Inc. Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-06-06 08:25:24 Finance 73rd United States Congress Financial economics 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
260	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 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-08-06 06:19:21 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

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