Securities Industry and Financial Markets Association - PDFSEARCH.IO - Document Search Engine

Securities Industry and Financial Markets Association
Results: 602

#	Item
201	Division of Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-09 16:41:46 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer U.S. Securities and Exchange Commission Investment Advisers Act Short Net capital rule Financial economics Financial markets Finance
202	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]December 31, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-31 12:14:00 Financial system United States Securities and Exchange Commission Financial markets Corporate crime U.S. Securities and Exchange Commission NYSE Arca Securities Exchange Act Securities Industry and Financial Markets Association NASDAQ Financial economics Investment Economy of the United States
203	MEMORANDUM TO: File Number S7-08-12 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-19 11:09:40 Stock market Financial markets Fixed income market Bonds Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Security Broker-dealer Financial economics Investment Financial system
204	December 15, 2014 By Electronic Mail to [removed] Brent J. Fields Secretary, Securities and Exchange Commission 100 F Street, NE Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-16 14:49:00 Financial system Securities United States Securities and Exchange Commission Bonds Securities Industry and Financial Markets Association Financial Industry Regulatory Authority Securities research Financial analyst Bond market Financial economics United States securities law Finance
205	Microsoft Word - Final Response on Mortgage Funding to EC 15Feb07.doc Add to Reading List Source URL: ec.europa.eu Language: English - Date: 2011-03-31 06:00:12 Finance Mortgage-backed security Fixed income securities Structured finance Bonds Securities Industry and Financial Markets Association Mortgage loan European Social Fund Financial economics United States housing bubble Investment
206	Annual Review[removed]Revitalising Europe’s capital markets Association for Financial Markets in Europe www.afme.eu Add to Reading List Source URL: www.afme.eu Language: English - Date: 2014-09-29 11:55:10 Financial markets Trade associations Financial regulation Bonds Securities Industry and Financial Markets Association Bank Markets in Financial Instruments Directive Financial transaction tax ICMA Financial economics Finance Economics
207	[removed]Election Cycle December 11, 2014 Wall Street Money in Washington Add to Reading List Source URL: ourfinancialsecurity.org Language: English - Date: 2014-12-11 10:22:25 Politics Center for Responsive Politics Political action committee United States Chamber of Commerce Lobbying Securities Industry and Financial Markets Association Campaign finance in the United States United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Lobbying in the United States Politics of the United States Financial economics
208	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]January 2, 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-02 17:14:20 Financial system Stock market United States securities law United States Securities and Exchange Commission NYSE Arca Securities Industry and Financial Markets Association NASDAQ U.S. Securities and Exchange Commission Securities Exchange Act Financial economics Investment Financial markets
209	December 22, 2014 Via Electronic Mail ([removed]) Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-23 06:38:45 Investment Stock market United States Securities and Exchange Commission Mathematical finance Regulation NMS Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Uptick rule Dark liquidity Financial economics Financial markets Finance
210	INTEREST RATE MARKET INSIGHT DECEMBER 1, 2014 • The week of Thanksgiving and Black Friday had many traders shopping for equities • The somewhat disappointing releases spanned the employment front (jobless claims wit Add to Reading List Source URL: origin.library.constantcontact.com Language: English Interest rates Financial markets Interest rate swap Libor Swap rate Yield curve Swap Securities Industry and Financial Markets Association Day count convention Financial economics Investment Finance

UPDATE