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Net capital rule
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#	Item
511	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 5, 2006 SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-10-05 08:32:51 Financial regulation Financial economics 73rd United States Congress Securities Exchange Act SEC filings U.S. Securities and Exchange Commission Securities and Exchange Commission Net capital rule Regulation S-K United States securities law United States Securities and Exchange Commission Finance
512	Microsoft Word[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-06-23 09:17:32 Financial economics Finance 73rd United States Congress Securities Exchange Act 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
513	Microsoft Word[removed]Trading Suspension Release.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-30 08:19:39 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
514	Microsoft Word[removed]Trading Suspension.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-24 08:02:14 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 United States Securities and Exchange Commission Financial economics
515	SEC Final Rule: Broker-Dealer Exemption from Sending Certain Financial Information to Customers Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-11-14 09:25:08 Federal Reserve System Finance Financial system Investment banking Net capital rule SEC filings Financial economics Broker-dealer Fixed income market
516	No-Action Letter: Financial Industry Regulatory Authority Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-02 10:39:19 Corporate taxation in the United States Types of business entity Financial system Financial services Net capital rule United States housing bubble Broker-dealer Financial Industry Regulatory Authority Series LLC Financial economics United States securities law Finance
517	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-15 08:38:55 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
518	Microsoft Word[removed]Trading Suspension _2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-19 08:32:10 Financial economics Finance 73rd United States Congress Securities Exchange Act Securities and Exchange Commission Form 144 Net capital rule United States securities law United States Securities and Exchange Commission Financial regulation
519	Proposed Rule: References to Ratings of Nationally Recognized Statistical Rating Organizations Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-14 13:11:57 United States securities law 73rd United States Congress United States Securities and Exchange Commission Financial markets Credit rating agency Nationally recognized statistical rating organization Financial services U.S. Securities and Exchange Commission Net capital rule Finance Financial economics Financial regulation
520	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 20, 2014 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: 2014-02-20 08:07:42 Financial regulation Finance 73rd United States Congress Securities Exchange Act Securities and Exchange Commission Form 144 Net capital rule United States securities law United States Securities and Exchange Commission Financial economics

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