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Net capital rule
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#	Item
401	Microsoft Word - Trust Affidavit Add to Reading List Source URL: www.iowa.gov Language: English - Date: 2013-10-22 11:39:41 Broker Occupations Trust law Real estate Net capital rule Law Common law Equity
402	June 17, 2004 Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street N.W. Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-17 12:31:57 Financial system Financial economics 73rd United States Congress Corporate crime U.S. Securities and Exchange Commission Self-regulatory organization Securities Act Order Net capital rule United States Securities and Exchange Commission Financial regulation United States securities law
403	May 11, 2004 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-05-12 17:28:36 Financial markets Financial services Collective investment schemes Mutual fund fees and expenses Broker-dealer Mutual fund Net capital rule Exchange-traded fund Financial economics Investment Finance
404	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Pilot Program to Eliminate Position and Exercise Limits in SPY Options Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-09 10:17:32 United States securities law Financial markets International Securities Exchange Futures contract Securities Exchange Act Net capital rule U.S. Securities and Exchange Commission Short Financial economics Finance Financial system
405	[removed]06_SEC_Rule_Review_Comment_Letter Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-07 10:11:39 United States corporate law United States securities law Auditing Business Government Net capital rule Naked short selling Corporate crime U.S. Securities and Exchange Commission Financial regulation
406	SRO CBOE: Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change and Amendment Nos. 1, 2, 3, and 4 Thereto Relating to Position Limits and Exercise Limits Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-02-25 12:46:54 Financial markets Investment Chicago Board Options Exchange Option Net capital rule Futures contract Short Margin Exercise Financial economics Finance Financial system
407	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-12-08 14:41:53 Financial services Depository Trust & Clearing Corporation Securities Broker-dealer U.S. Securities and Exchange Commission Federal Reserve System Mutual fund ACT Net capital rule Financial economics Investment Finance
408	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]December 15, 2008 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-18 09:13:12 Financial system Financial markets Broker-dealer Fixed income market Securities Exchange Act U.S. Securities and Exchange Commission Federal Reserve System Chicago Board Options Exchange Net capital rule Finance Financial economics United States securities law
409	Comments on File Nos. S7[removed]and 4-507 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-08-05 08:59:57 Financial markets Business Registered Investment Advisor Broker-dealer U.S. Securities and Exchange Commission Investment Advisor Net capital rule Finance Financial economics Financial services
410	THE REAL ESTATE BROKERS ACT Application for Renewal of Registration As Real Estate Broker It is in your best interests to ensure that this form is completed properly to avoid delay in processing. If space is not sufficie Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-05-30 14:14:22 Real estate broker Broker Manitoba Real Estate Association Short Net capital rule Business Finance Financial economics

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