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Net capital rule
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#	Item
641	Proposed Rule: Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-11-07 10:05:03 Investment United States housing bubble Net capital rule Financial services Broker-dealer Short U.S. Securities and Exchange Commission Securities Investor Protection Corporation UBS Financial economics Finance Financial markets
642	Titan Resources International, Corp. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-09-26 08:46:45 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Government Securities and Exchange Commission Financial system Municipal Securities Rulemaking Board Net capital rule United States securities law United States Securities and Exchange Commission Financial regulation
643	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-18 08:19:46 Financial 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
644	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]May 7, 2014 The U.S. Securities and Exchange Commission announced the temporary suspension of trading in the se Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-06 18:17:17 73rd United States Congress Financial economics Finance 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
645	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-19 08:56:52 Finance 73rd United States Congress Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission OTC Markets Group Form 144 Net capital rule United States securities law United States Securities and Exchange Commission Financial regulation
646	Rosenberg Rich Baker Berman & Company and Brian Zucker, CPA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-06-14 09:10:53 Finance United States securities law Corporate governance SEC filings Net capital rule United States housing bubble Regulation S-X Broker-dealer Audit committee Auditing Business Accountancy
647	Broker-Dealer Net Capital No-Action Letter Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-19 16:43:21 Financial system Net capital rule United States housing bubble United States securities law Financial regulation Short selling Broker-dealer U.S. Securities and Exchange Commission Short Financial economics Finance Financial markets
648	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-04-13 09:21:59 Financial economics Financial system 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Securities and Exchange Commission Net capital rule Form 144 United States securities law Finance United States Securities and Exchange Commission
649	Microsoft Word[removed]Trading Suspension.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-07-20 08:35:10 Financial regulation Financial economics 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Net capital rule Mutual fund scandal United States securities law Finance United States Securities and Exchange Commission
650	Microsoft Word[removed]_2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-17 08:55:51 Financial economics Finance 73rd United States Congress Securities Exchange Act Securities and Exchange Commission Net capital rule Form 144 United States securities law United States Securities and Exchange Commission Financial regulation

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