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

Securities Industry and Financial Markets Association
Results: 602

#	Item
371	MEMORANDUM TO: File Number S7[removed]FROM: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-26 16:03:19 House of Morgan Primary dealers Securities Bonds Securities Industry and Financial Markets Association Morgan Stanley J.P. Morgan & Co. Goldman Sachs Barclays Investment Financial economics Investment banks
372	~SIFMA SeCllrtUos Industry and Financial Matkot! ASSOciation January 26, 2010 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-26 15:18:59 Investment Securities United States Securities and Exchange Commission Stock market 73rd United States Congress Securities Act Securities Industry and Financial Markets Association Shelf registration Rule 144A Financial economics United States securities law Finance
373	October 1, 2008 Florence E. Harmon Acting Secretary Securities and Exchange Commission 100 F Street NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-01 15:41:05 Finance Trade associations Institutional investors Soft dollar Financial adviser Securities Industry and Financial Markets Association Mutual fund Investment management Investment Adviser Association Financial economics Investment Financial services
374	By Electronic Mail To: [removed] June 8, 2012 Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE, Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-06-11 11:15:37 Financial markets Stock market United States securities law Financial services Securities Industry and Financial Markets Association Broker-dealer Short Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Investor Protection Corporation Financial economics Finance Financial system
375	August 16, 2007 Via E-mail Ms. Nancy M. Morris, Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-17 11:05:21 Financial system Bonds Securities Securities Industry and Financial Markets Association NYSE Arca U.S. Securities and Exchange Commission Market data New York Stock Exchange Financial economics Investment Financial markets
376	TESTIMONY OF JOHN TAFT HEAD OF U.S. WEALTH MANAGEMENT RBC WEALTH MANAGEMENT CHAIRMAN PRIVATE CLIENT GROUP STEERING COMMITTEE SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-14 16:27:24 Business Trade associations Common law Equity Fiduciary Investment Advisor Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Financial adviser Law Financial economics Finance
377	Microsoft Word - SEC Comments[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-08-04 15:16:03 Software and Information Industry Association Finance Business Economics Financial markets Market data U.S. Securities and Exchange Commission
378	HSBC 4Xb Mkbd W.Emenon, bq. Central C o m d and Mamgiw Director Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-03-27 12:46:05 Financial markets United States securities law Financial regulation Securities Financial services Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Financial economics Financial system Finance
379	October 9, 2008 Via E-Mail: [removed] Ms. Florence Harmon Acting Secretary U.S. Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-10 16:52:07 Financial markets United States securities law Financial regulation Short selling Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Naked short selling Repurchase agreement Securities Exchange Act Financial economics Finance Investment
380	MEMORANDUM TO: File FROM: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-06-19 10:47:57 Bonds Securities Securities Industry and Financial Markets Association Stock market Volcker Rule Paul Volcker Financial adviser Financial economics Finance Investment

UPDATE