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Net capital rule
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#	Item
501	PCAOB: Notice of Filing of Proposed Temporary Rule for an Interim Program of Inspection Related to Audits of Brokers and Dealers Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-07-06 17:44:48 Finance Public Company Accounting Oversight Board Audit Sarbanes–Oxley Act Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Regulation S-X Net capital rule Auditing Accountancy Business
502	Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-04-03 12:59:24 Financial markets United States securities law United States Securities and Exchange Commission Fixed income market Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Net capital rule Financial economics Financial system Investment
503	PDF Document Add to Reading List Source URL: www.securities.ok.gov Language: English - Date: 2013-02-15 16:45:51 Financial markets Broker-dealer Fixed income market Securities Exchange Act Broker Security Net capital rule Registered Investment Advisor Financial economics Finance Financial system
504	PDF Document Add to Reading List Source URL: www.cbsa-asfc.gc.ca Language: English - Date: 2008-09-16 11:42:20 International trade Financial services Canada Border Services Agency Business broker Net capital rule Business Commerce Customs broking
505	PDF Document Add to Reading List Source URL: www.cyberdriveillinois.com Language: English - Date: 2012-02-06 10:25:40 Broker Employment United States securities law Marketing SEC filings Registered Investment Advisor Net capital rule Occupations Business broker Business
506	Ottawa, February 00, 2002 Add to Reading List Source URL: www.cbsa.gc.ca Language: English - Date: 2008-09-16 11:42:20 International trade Financial services Canada Border Services Agency Business broker Net capital rule Business Commerce Customs broking
507	PDF Document Add to Reading List Source URL: www.cyberdriveillinois.com Language: English - Date: 2012-02-06 10:25:42 Economy of the United States Yield spread premium Net capital rule Mortgage industry of the United States Financial services Business
508	May 25, 2012 Via E-Mail: [removed] Secretariat of the Financial Stability Board c/o Bank for International Settlements CH-4002, Basel, Switzerland Re: Add to Reading List Source URL: www.financialstabilityboard.org Language: English - Date: 2012-08-07 03:07:00 Financial markets Securities Short selling Financial services Stock market Repurchase agreement Securities Industry and Financial Markets Association Net capital rule Financial Industry Regulatory Authority Financial economics Finance Financial system
509	SEC News Digest, [removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-02 11:42:18 Finance Securities Exchange Act Net capital rule U.S. Securities and Exchange Commission Securities Act Security Short Investment Company Act Registered representative United States securities law Financial economics Financial system
510	Microsoft Word[removed]Trading suspension doc .docx Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-07 11:48:19 73rd United States Congress Securities Exchange Act Finance Financial system 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

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