Net capital rule

Results: 731



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42173rd United States Congress / Securities Exchange Act / Financial system / Finance / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Net capital rule / Naked short selling / United States securities law / United States Securities and Exchange Commission / Financial regulation

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 2, 2013 The Securities and Exchange Commission (“Commission”) announced the temporary

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Source URL: www.sec.gov

Language: English - Date: 2013-08-01 18:43:08
422Financial 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

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 14, 2013 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov

Language: English - Date: 2013-08-13 19:34:41
423United States housing bubble / Net capital rule / Security / Federal Reserve System / Repurchase agreement / Funds / Collective investment schemes / Financial services / Dodd–Frank Wall Street Reform and Consumer Protection Act / Financial economics / Investment / Finance

Washington Municipal Treasurers’ Association Model

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Source URL: www.wmta-online.com

Language: English - Date: 2006-10-12 18:27:50
424Financial 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

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 5, 2013 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov

Language: English - Date: 2013-09-05 07:09:29
425Financial system / Finance / 73rd United States Congress / Securities Exchange Act / United States Securities and Exchange Commission / Broker-dealer / U.S. Securities and Exchange Commission / NYSE Arca / Net capital rule / Financial economics / United States securities law / Financial markets

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]July 26, 2013 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change A

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Source URL: www.sec.gov

Language: English - Date: 2013-07-28 17:44:26
426Financial 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

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 12, 2013 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov

Language: English - Date: 2013-09-12 06:15:11
427United States housing bubble / Financial accounting / Mark-to-market accounting / Generally Accepted Accounting Principles / Discounted cash flow / Christopher Cox / Market liquidity / Net capital rule / Finance / Financial markets / Business

Microsoft Word - ljwhite1435.doc

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Source URL: www.sec.gov

Language: English - Date: 2008-12-24 10:37:41
428Financial economics / Finance / 73rd United States Congress / Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Securities research / Net capital rule / United States securities law / United States Securities and Exchange Commission / Financial regulation

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 18, 2013 The U.S. Securities and Exchange Commission announced the temporary suspension of trading

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Source URL: www.sec.gov

Language: English - Date: 2013-09-18 06:56:04
429U.S. Securities and Exchange Commission / Finance / Credit union / Securities Exchange Act / Broker-dealer / Credit Union National Association / Net capital rule / Investor Protection and Securities Reform Act / Financial economics / Financial regulation / Corporate crime

Microsoft Word - secseptember 2.doc

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Source URL: www.sec.gov

Language: English - Date: 2004-09-03 14:28:15
43073rd United States Congress / Finance / Financial system / 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

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 1, 2013 The Securities and Exchange Commission (“Commission”) announced the temporary

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Source URL: www.sec.gov

Language: English - Date: 2013-07-31 19:30:01
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