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Net capital rule
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#	Item
621	Adjudicatory Order: Mark S. Parnass Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-09-15 17:29:03 Financial regulation Financial economics Financial system Financial services Corporate crime U.S. Securities and Exchange Commission Registered representative Broker-dealer Net capital rule United States securities law 73rd United States Congress United States Securities and Exchange Commission
622	Microsoft Word[removed]_2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-23 09:03:35 73rd United States Congress Securities Exchange Act Government Finance 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
623	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-18 10:11:18 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
624	Proposed Rule: References to Ratings Of Nationally Recognized Statistical Rating Organizations Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-07-23 15:02:43 Financial markets United States securities law 73rd United States Congress United States Securities and Exchange Commission Credit rating agency U.S. Securities and Exchange Commission Nationally recognized statistical rating organization Net capital rule Securities Exchange Act Financial economics Finance Financial system
625	DAVREY FINANCIAL SERVICES, INC. and PRAVIN R. DAVREY Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-06-17 14:14:59 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Net capital rule U.S. Securities and Exchange Commission Citigroup Financial economics Selling away Financial Industry Regulatory Authority United States securities law Financial regulation Economy of the United States
626	SEC News Digest, [removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-05 11:26:30 United States securities law Economy of the United States 73rd United States Congress United States Securities and Exchange Commission Net capital rule United States housing bubble Securities Exchange Act Merrill Lynch Chicago Stock Exchange Investment Financial economics Primary dealers
627	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-11-08 08:35:17 73rd United States Congress Finance Business Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Net capital rule SEC filing United States securities law United States Securities and Exchange Commission Financial regulation
628	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 10, 2014 IN THE MATTER OF AMOGEAR INC. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-09 08:58:25 Finance 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 Financial regulation
629	Final Rule: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-08 13:20:23 Financial markets United States housing bubble Financial services Net capital rule Credit rating agency Nationally recognized statistical rating organization U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Broker-dealer Finance Financial economics Business
630	V-Twin Holdings, Inc. (n/k/a Tobacco One, Inc.), Valley Media, Inc., Venturequest Group, Inc. (n/k/a Dex-Ray Resources, Inc.), Verex Laboratories, Inc., Vibro-Tech, Industries, Inc., Video City, Inc., and Vidikron Techno Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-08-11 10:40:02 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

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