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Net capital rule
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341	Microsoft Word - Response to SEC Guidance 0706 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-09-07 16:01:10 Business Trade associations Finance Investment Management Association U.S. Securities and Exchange Commission Investment banking Collective investment scheme Net capital rule Financial adviser Financial economics Investment Financial services
342	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]January 21, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Suppleme Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-22 17:48:07 Investment Net capital rule Exchange-traded fund Securities Exchange Act Market liquidity Broker-dealer Basel III Dodd–Frank Wall Street Reform and Consumer Protection Act Short Financial economics Financial markets Finance
343	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 23, 2013 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: 2013-07-22 18:42:31 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
344	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 2, 2013 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the se Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-01 19:11:34 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
345	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 23, 2013 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: 2013-07-22 18:42:55 Financial regulation Finance 73rd United States Congress Securities Exchange Act Securities and Exchange Commission Form 144 Net capital rule United States securities law United States Securities and Exchange Commission Financial economics
346	S7floI~L;b Carlos IW. Mowlelr Senior Vice President and Associate General Counsel Memill Lynch & Cn., Umc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-05 14:17:18 Financial services Business Merrill Lynch Short Broker-dealer Brokerage firm Prime brokerage Net capital rule Financial economics Financial markets Finance
347	Ottawa, February 00, 2002 Add to Reading List Source URL: asfc.gc.ca Language: English - Date: 2008-09-16 11:42:20 International trade Financial services Canada Border Services Agency Business broker Net capital rule Business Commerce Customs broking
348	Ottawa, February 00, 2002 Add to Reading List Source URL: cbsa-asfc.gc.ca Language: English - Date: 2008-09-16 11:42:20 International trade Financial services Canada Border Services Agency Business broker Net capital rule Business Commerce Customs broking
349	BEST PRACTICE Government Relationships with Securities Dealers (1986, 1988, 2003, 2006, and[removed]Background. Finance officers, treasurers and investment officers (hereafter referred to as government investors) who manag Add to Reading List Source URL: www.gfoa.org Language: English - Date: 2014-05-07 17:46:33 Stock market Financial services Financial markets United States securities law Self-regulatory organizations Net capital rule Broker-dealer U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial economics Finance Financial system
350	Federal Register / Vol. 67, No[removed]Tuesday, April 9, [removed]Rules and Regulations DEPARTMENT OF THE TREASURY Office of the Comptroller of the Currency 12 CFR Part 3 [Docket No. 02–04] Add to Reading List Source URL: www.occ.gov Language: English - Date: 2014-08-31 08:44:24 United States housing bubble Credit rating agency Securitization Net capital rule Bank regulation Subprime mortgage crisis Capital requirement U.S. Securities and Exchange Commission Security Financial economics Finance Economics

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