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Net capital rule
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#	Item
371	Microsoft Word - mberman9464.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-10 09:25:38 Finance Financial adviser Collective investment scheme Broker-dealer Investment Advisers Act Hedge fund U.S. Securities and Exchange Commission Registered Investment Advisor Net capital rule Financial economics Investment Financial services
372	filed via e-mail to [removed] Ms. Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, N.E. Washington, D.C[removed]Re: File No. S7-08-07 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-07-13 10:53:40 Financial markets Stock market Financial services United States securities law Net capital rule Financial Industry Regulatory Authority Broker-dealer U.S. Securities and Exchange Commission Investment banking Financial economics Finance Business
373	EUROPEAN COMMISSION Directorate General Internal Market and Services FINANCIAL MARKETS Financial markets Infrastructure Brussels, 21 August 2013 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-22 10:46:52 Financial system Corporate crime U.S. Securities and Exchange Commission United States housing bubble Short Repurchase agreement Derivative Alternative Trading Systems Net capital rule Finance Financial economics Financial markets
374	Microsoft Word - Broker-DealerRule[removed]_2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-05 09:42:49 Finance Business Registered Investment Advisor Investment Advisers Act Investment Adviser Association U.S. Securities and Exchange Commission Financial adviser Broker-dealer Net capital rule Financial economics Investment Financial services
375	By Electronic Mail ([removed]) February 22, 2013 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-02-25 10:32:16 Financial system United States housing bubble Commodity Futures Trading Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Credit default swap Net capital rule Futures contract Derivative Security Financial economics Finance Financial markets
376	Sent by e-mail 08 September 2008 Secretary Securities Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-10 09:03:21 Financial markets Investment banks Financial services Primary dealers Broker-dealer Fixed income market UBS Net capital rule Prime brokerage Financial economics Investment Finance
377	PDF Document Add to Reading List Source URL: www.capitol.state.tx.us Language: English - Date: 2009-05-23 10:10:55 Financial institutions Institutional investors Business law Legal entities Insurance Corporation Net capital rule Investment Business Financial economics
378	Microsoft Word - website SIPC-3 Dates left blank for user to fill in[removed]doc Add to Reading List Source URL: www.sipc.org Language: English - Date: 2014-04-21 14:18:29 Securities Investor Protection Corporation Securities Investor Protection Act Occupations Financial services Broker Investment Advisor Financial adviser Net capital rule Financial economics Investment Finance
379	Rules Regarding Closeout or Completion of Open Contractual Commitments 17 C.F.R. §§[removed]As Amended Through April 1997 Add to Reading List Source URL: www.sipc.org Language: English - Date: 2013-08-19 13:34:02 Investment United States securities law Securities Investor Protection Corporation Financial markets Security Securities Exchange Act Repurchase agreement Broker-dealer Net capital rule Financial economics Finance Financial system
380	Rules Relating to Accounts Introduced by Other Brokers or Dealers 17 C.F.R. §§[removed]Adopted October 1978 Add to Reading List Source URL: www.sipc.org Language: English - Date: 2013-08-19 13:33:56 Finance Financial regulation Self-regulatory organizations Financial markets United States securities law Financial services Net capital rule Registered Investment Advisor Financial economics Investment Securities Investor Protection Corporation

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