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

Securities Industry and Financial Markets Association
Results: 602

#	Item
541	Microsoft Word - JointFiduciaryLetterFinal3[removed]doc Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2013-06-27 16:04:05 Trade associations Business Stock market Common law Equity Fiduciary Investment Adviser Association Registered Investment Advisor Securities Industry and Financial Markets Association Financial economics Law Finance
542	Microsoft Word[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-09 07:53:51 Finance Broker-dealer Short Prime brokerage Securities market Securities Industry and Financial Markets Association Broker Direct market access Securities Exchange Act Financial markets Financial economics Financial system
543	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-06-08 15:40:13 Financial system Stock market Financial markets Financial regulation Regulation NMS Order Securities Exchange Act Securities Industry and Financial Markets Association Best execution Financial economics Investment United States Securities and Exchange Commission
544	Deutsche Bank Deutsche Bank AG New York 60 Wall Street New York, NY[removed]Tel[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-11-23 09:16:33 Corporate crime U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Financial economics Investment Financial system
545	sifma" Invested in America I December 14, 2010 Add to Reading List Source URL: www.fincen.gov Language: English - Date: 2010-12-15 13:49:52 Tax evasion Bank Secrecy Act Financial regulation Financial crimes Suspicious activity report Financial Crimes Enforcement Network Securities Industry and Financial Markets Association Money laundering USA PATRIOT Act Title III Subtitle B Finance Financial economics Financial system
546	November 15, 2011 BY EMAIL TO: [removed] Regulatory Policy and Programs Division Add to Reading List Source URL: www.fincen.gov Language: English - Date: 2011-11-17 07:22:19 Tax evasion Bank Secrecy Act Suspicious activity report Financial regulation Securities Industry and Financial Markets Association Financial Crimes Enforcement Network Money laundering Birmingham Small Arms Company Filing Finance Financial economics Financial system
547	REMARKS OF JENNIFER SHASKY CALVERY DIRECTOR FINANCIAL CRIMES ENFORCEMENT NETWORK SECURITIES INDUSTRY AND FINANCIAL MARKETS ASSOCIATION ANTI-MONEY LAUNDERING AND FINANCIAL CRIMES CONFERENCE JANUARY 30, 2014 Add to Reading List Source URL: fincen.gov Language: English - Date: 2014-01-30 08:24:36 Crime Financial regulation Bank Secrecy Act Suspicious activity report Financial crimes Financial Crimes Enforcement Network Money laundering Financial Intelligence Terrorism financing Business Tax evasion Finance
548	Incoming Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-02-14 17:28:15 Securities Stock market United States Securities and Exchange Commission United States securities law 73rd United States Congress Securities Industry and Financial Markets Association Depository Trust & Clearing Corporation Securities Exchange Act U.S. Securities and Exchange Commission Financial economics Financial system Finance
549	Order Temporarily Exempting Certain Broker-Dealers from the Recordkeeping, Reporting, and Monitoring Requirements of Rule 13h-1 under the Securities Exchange Act of 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-04-03 12:59:24 Financial markets United States securities law United States Securities and Exchange Commission Fixed income market Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Net capital rule Financial economics Financial system Investment
550	PDF Document Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-14 13:40:02 Financial markets Securities Stock market 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Presidency of Barack Obama Securities Industry and Financial Markets Association Futures contract Commodity Futures Trading Commission Financial economics Finance Investment

UPDATE