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Net capital rule
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461	CONVENTION AND VISITORS AUTHORITY POLICY NO. FIN-23 Title: Add to Reading List Source URL: www.lvcva.com Language: English - Date: 2012-12-24 12:41:18 Financial markets Financial services United States housing bubble Funds Repurchase agreement Money market Net capital rule Federal Reserve System Security Financial economics Investment Finance
462	Initial Decision-Private Proceedings Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-20 16:47:28 Financial regulation Net capital rule United States housing bubble U.S. Securities and Exchange Commission Securities Exchange Act Securities Act United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
463	RULE Office of the Governor Office of Financial Institutions Broker-Dealer and Investment Adviser Recordkeeping Requirements (LAC 10:XIII.Chapter 17) In accordance with the Louisiana Securities Law, R.S. 51:701 et seq., Add to Reading List Source URL: www.ofi.state.la.us Language: English - Date: 2011-08-01 14:36:56 Investment Advisers Act Business U.S. Securities and Exchange Commission Financial adviser Securities regulation in the United States Broker-dealer Registered Investment Advisor Net capital rule Financial economics Finance 76th United States Congress
464	Initial Decision Private Proceding Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-30 23:51:39 Financial regulation Financial economics Finance Securities Exchange Act Net capital rule Securities Act Broker-dealer U.S. Securities and Exchange Commission Regulation S-K United States securities law United States Securities and Exchange Commission 73rd United States Congress
465	OMB APPROVAL OMB Number: [removed]Expires: September 30, 2005 Estimated average burden hours per response[removed]25 Add to Reading List Source URL: www.securities.utah.gov Language: English - Date: 2013-09-12 21:17:09 Finance Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Self-regulatory organization Financial Industry Regulatory Authority Net capital rule Registered Investment Advisor United States securities law Financial economics Financial system
466	ADMINISTRATIVE PROCEEDING FILE NO[removed] ..,.-I .{ • , Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-06 16:57:51 Financial system United States securities law United States Securities and Exchange Commission Financial regulation Short selling Net capital rule Broker-dealer Securities Exchange Act Desautels Financial economics Financial markets Finance
467	p~~rrNISTRATlVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-05 15:58:51 United States securities law 73rd United States Congress United States Securities and Exchange Commission Financial markets Securities Exchange Act Net capital rule Securities Investor Protection Corporation Broker-dealer Securities Act Financial economics Finance Financial system
468	Rules Notice Request for Comments Dealer Member Rules Please distribute internally to: Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-03-27 12:51:04 Business Investment Financial services Exempt market dealer Short Canadian securities regulation Margin Broker-dealer Net capital rule Finance Financial economics Financial markets
469	Intercompany Transactions Section[removed]WHAT’S IN THIS SECTION This section was revised as of January 2008 to incorporate references to the Federal Reserve Board’s Regulation W, primarily with regard to Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2014-03-06 12:58:13 Finance Financial economics 66th United States Congress Edge Act Financial regulation Gramm–Leach–Bliley Act Net capital rule Broker-dealer United States federal banking legislation Financial services Financial system
470	ADMINISTRATIVE PROCEEDING FILE NO[removed]Ll(; Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-12 17:38:29 Net capital rule United States housing bubble Financial markets Security Broker-dealer Repurchase agreement Financial economics Finance Investment

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