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Net capital rule
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#	Item
301	Letter from the Division of Market Regulation to New York Stock Exchange, Inc., National Association of Securities Dealers, Inc., American Stock Exchange, Inc., and The Chicago Board Options Exchange re: Responsibilities Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-05-05 11:21:17 Financial system Broker-dealer Fixed income market U.S. Securities and Exchange Commission Net capital rule Financial markets Financial economics Finance
302	Microsoft Word[removed]docx Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2011-05-06 09:26:42 Financial markets Credit rating agency Nationally recognized statistical rating organization Net capital rule United States securities law Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Broker-dealer Securities Exchange Act Financial economics Finance Financial regulation
303	‘, [removed]:lO FAX[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-08-23 13:23:32 Chicago Board Options Exchange Net capital rule U.S. Securities and Exchange Commission Securities Act Government SEC filings Economy of the United States Financial regulation
304	Bernanke Testimony on Lessons from the Failure of Lehman Brothers Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2011-05-23 12:01:18 Financial services Shearson Lehman/American Express Late-2000s financial crisis Primary Dealer Credit Facility U.S. Securities and Exchange Commission Repo 105 Federal Reserve System Bear Stearns Net capital rule Lehman Brothers Economy of the United States Finance
305	MEMORANDUM OF UNDERSTANDING BETWEEN THE U.S. SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-07-07 12:45:24 Economy of the United States Federal Reserve System Bank holding company U.S. Securities and Exchange Commission Securities Exchange Act Banking in the United States Net capital rule Primary dealer Federal Reserve Bank Federal Reserve Financial regulation Government
306	Comment Response Document for Financial Test and Corporate Guarantee for Private Owners or Operators of Municipal Solid Waste Landfill Facilities October 12, 1994 Proposed Rule (59 FR[removed] Add to Reading List Source URL: www.epa.gov Language: English - Date: 2012-04-04 11:57:18 Economics Business Debt Valuation Leverage Net worth Debt ratio United States Environmental Protection Agency Net capital rule Finance Financial ratios Financial accounting
307	Comment Letter on File No[removed] Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2006-04-04 15:36:11 Finance Corporate crime U.S. Securities and Exchange Commission Broker-dealer Net capital rule Registered Investment Advisor Financial economics Financial services Financial system
308	IM 03-32: Customer Identification Programs For Broker-Dealers (July 14, 2003) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-03-27 11:24:12 Finance Customer Identification Program Broker-dealer Money laundering Broker Patriot Act Identity theft Net capital rule USA PATRIOT Act Title III Subtitle A Financial regulation Financial system Law
309	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 11, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-06-11 07:19:06 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
310	Alternative Energy, Inc. and SK3 Group, Inc. Add to Reading List Source URL: www.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

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