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Net capital rule
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441	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 26, 2013 The Securities and Exchange Commission (“Commission”) announced the temporary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-26 06:13:56 Financial system Finance 73rd United States Congress Financial services Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Securities and Exchange Commission Net capital rule United States securities law Financial economics United States Securities and Exchange Commission
442	April 4, 2005 BY FACSIMILE AND U.S. MAIL The Honorable Michael G. Oxley The Honorable Richard H. Baker Committee on Financial Services Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-05-17 15:59:59 Financial services Investment Financial adviser Investment Advisers Act Investment Advisor U.S. Securities and Exchange Commission Stock broker Registered Investment Advisor Net capital rule Business Finance Financial economics
443	Comment Letter on Dodd-Frank Title VII, Mandatory Clearing of Security-Based Swaps, End-User Exception and Security-Based Swap Clearing Agencies Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-30 10:40:18 Economics Futures contract Margin Net capital rule Hypothecation Dodd–Frank Wall Street Reform and Consumer Protection Act Security Securities Exchange Act Collateral management Financial economics Finance Financial markets
444	Financial Highlights and Limitations of Financial Statements - U.S. Department of Education FY 2013 Agency Financial Report Add to Reading List Source URL: www2.ed.gov Language: English - Date: 2013-12-20 15:52:21 Business Balance sheet Federal Reserve System Net worth Net capital rule Finance Accountancy Financial statements
445	Print Form EXPERIENCE CERTIFICATION STATEMENT (To Be Completed By Principal Broker or Broker in Charge) Submit ORIGINAL only - FAX and PHOTOCOPY will not be accepted NAME OF BROKER APPLICANT: Add to Reading List Source URL: files.hawaii.gov Language: English - Date: 2011-08-16 21:02:28 Financial services Broker Marketing Employment Real estate Net capital rule Business broker Real estate broker Occupations Business
446	National Examination Program Examination Priorities for 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-09 13:27:51 United States securities law Investment Self-regulatory organizations Financial services U.S. Securities and Exchange Commission Registered Investment Advisor Hedge fund Net capital rule Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Finance Financial system
447	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 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-13 19:34:22 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
448	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.ots.treas.gov Language: English - Date: 2014-08-03 08:47:53 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
449	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-C2[removed]November 12, 2013 Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Pro Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-11-13 08:54:17 Finance Broker-dealer Securities Exchange Act Order Futures contract Short Market maker Commodity Futures Modernization Act Net capital rule Financial markets Financial economics Financial system
450	November 8, 2013 VIA ELECTRONIC MAIL The Honorable Mary Jo White Chair Securities and Exchange Commission 100 F Street, N.E. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-14 08:36:15 Finance United States Securities and Exchange Commission Municipal Securities Rulemaking Board Securities U.S. Securities and Exchange Commission Securities Exchange Act Financial adviser Auction rate security Net capital rule Financial economics United States securities law Financial regulation

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