Net capital rule

Results: 731



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561Financial 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]December 12, 2012 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in

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Source URL: www.sec.gov

Language: English - Date: 2012-12-12 06:44:01
562Financial 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

Microsoft Word[removed]doc

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Source URL: www.sec.gov

Language: English - Date: 2008-11-24 08:27:43
563Credit rating agencies / United States housing bubble / Nationally recognized statistical rating organization / Financial markets / Dodd–Frank Wall Street Reform and Consumer Protection Act / U.S. Securities and Exchange Commission / Asset-backed security / Repurchase agreement / Net capital rule / Financial economics / Finance / Economics

1316 Federal Register / Vol. 79, No. 5 / Wednesday, January 8, [removed]Rules and Regulations Part A, Subpart III, Section 44701: General requirements.’’ Under that

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Source URL: www.gpo.gov

Language: English - Date: 2014-01-08 04:13:56
564United States securities law / Corporate crime / U.S. Securities and Exchange Commission / JPMorgan Chase / Securities Exchange Act / Net capital rule / Investment / Financial economics / Finance

Microsoft Word - Order[removed]doc

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Source URL: www.sec.gov

Language: English - Date: 2007-12-21 14:42:31
565Financial regulation / Financial economics / 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 / Finance

Microsoft Word[removed]doc

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Source URL: www.sec.gov

Language: English - Date: 2007-11-01 08:45:24
566Securities Exchange Act / U.S. Securities and Exchange Commission / Net capital rule / Financial system / Finance / Selling away / United States securities law / Financial regulation / Self-regulatory organization

1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No[removed]October 12, 2004

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Source URL: www.sec.gov

Language: English - Date: 2004-10-12 16:51:29
567Financial 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]March 11, [removed]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: 2014-03-11 08:16:53
568Financial 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]April 1, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the

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Source URL: www.sec.gov

Language: English - Date: 2014-03-31 19:32:32
56973rd United States Congress / Securities Exchange Act / Finance / Financial system / 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

Microsoft Word[removed]Trading Suspension _2_.doc

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Source URL: www.sec.gov

Language: English - Date: 2008-10-27 09:04:11
570Financial regulation / Finance / 73rd United States Congress / Securities Exchange Act / 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 / Financial economics

U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]December 20, 2012 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in

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Source URL: www.sec.gov

Language: English - Date: 2012-12-20 07:52:36
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