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

Securities Industry and Financial Markets Association
Results: 602

#	Item
511	MEMORANDUM To: Commission File No. S7[removed]Commission File No. S7-26-10 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-08 13:55:24 Securities United States housing bubble Fixed income securities Structured finance Securities Industry and Financial Markets Association Due diligence Dodd–Frank Wall Street Reform and Consumer Protection Act Asset-backed security Securitization Financial economics Finance Investment
512	January 24, 2014 Ms. Josephine Tao Assistant Director Division of Trading and Markets Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-27 11:21:43 Stock market 73rd United States Congress United States Securities and Exchange Commission United States securities law Securities Securities Industry and Financial Markets Association Credit rating agency Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Act Financial economics Finance Investment
513	Microsoft Word - s70907-3.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-05-30 11:49:55 Finance Privacy Gramm–Leach–Bliley Act Securities Industry and Financial Markets Association Privacy policy Fair and Accurate Credit Transactions Act Internet privacy Credit rating agency Financial privacy United States federal banking legislation Financial economics Ethics
514	The Stock Market Game Teacher’s Guide Contents Introduction............................................................................................................................2 Teacher Support Center .......... Add to Reading List Source URL: views.smgww.org Language: English - Date: 2014-06-27 15:24:55 Finance Financial risk Bonds Securities Securities Industry and Financial Markets Association Diversification Stock exchange Financial economics Investment Stock market
515	Comments on File No. S7-23-07 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-11-18 12:34:29 Financial markets Stock market Bonds Securities Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Investment Advisers Act Broker-dealer Financial adviser Financial economics Investment Finance
516	Microsoft PowerPoint - REVISED FINAL Power Point IAC[removed]WITHOUT NOTES.ppt Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-05-17 07:45:44 Financial markets Securities Financial Industry Regulatory Authority United States securities law Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Investor Arbitration Short Financial economics Investment Finance
517	December 20, 2010 Via E-Mail to: [removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-20 14:27:48 Finance Securities Bonds Securities Industry and Financial Markets Association Registered Investment Advisor Financial adviser Investment Advisers Act U.S. Securities and Exchange Commission Security Financial economics Investment Stock market
518	Transcript: SEC-CFTC Joint Meeting on Harmonization of Regulation Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-30 14:32:18 Financial markets Financial system Commodity Futures Trading Commission United States securities law National Futures Association U.S. Securities and Exchange Commission Futures contract Financial Industry Regulatory Authority Self-regulatory organizations Financial economics Financial regulation
519	May 5, 2010 The Office of Regulations and Interpretations Employee Benefits Security Administration Room N-5655 U.S. Department of Labor 200 Constitution Avenue, N.W. Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 11:50:05 Investment Common law Equity Fiduciary Employee Retirement Income Security Act Securities Industry and Financial Markets Association Financial adviser Employee Benefits Security Administration Pension Financial economics Law Finance
520	R SIFMA S e c u r ~ t ~ eI nsd u s l r y and Financial Markets A s s u c ~ a l ~ o ~ l December 27,2006 Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:18:06 Financial markets Investment Soft dollar Securities Industry and Financial Markets Association Financial adviser Broker Short Prime brokerage Ameriprise Financial Financial economics Finance Business

UPDATE