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Securities Industry and Financial Markets Association
Results: 602

#	Item
571	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]December 5, 2013 Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice Fili Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-12-06 09:40:44 Securities Systemic risk Depository Trust & Clearing Corporation Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Industry and Financial Markets Association Schwab Liquidity risk Financial economics Financial system Finance
572	SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 275 and 279 Release No. IA-3129; File No. S7[removed]RIN 3235-AI17 Amendments to Form ADV; Extension of Compliance Date AGENCY: Securities and Exchange Commission. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-28 17:03:34 Trade associations 76th United States Congress Investment Advisers Act Securities Registered Investment Advisor Financial adviser Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Investment Adviser Association Financial economics Finance Investment
573	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]September 26, 2013 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Instituting Proceedings to Determine Whet Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-09-27 09:04:36 Stock market Securities Self-regulatory organizations Municipal Securities Rulemaking Board Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Underwriting Electronic Municipal Market Access College Savings Plans Network Financial economics Investment Finance
574	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]May 8, 2014 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-09 07:01:01 Investment Stock market United States securities law Municipal Securities Rulemaking Board Bonds United States Securities and Exchange Commission U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Industry and Financial Markets Association Financial economics Self-regulatory organizations Financial system
575	Microsoft Word - SIFMA Interim Rule 408b2 FINAL.DOC Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 11:33:17 Common law Equity Fiduciary Securities Industry and Financial Markets Association Employee Retirement Income Security Act Securities regulation in the United States IRS tax forms Law Financial economics Investment
576	Division of Trading and Markets No-Action Letter: SIFMA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-11 10:59:43 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Broker Financial economics Finance Financial markets
577	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: 2013-01-03 13:02:26 Securities Financial markets Financial regulation Short selling Net capital rule Security Short Depository Trust & Clearing Corporation Broker-dealer Financial economics Financial system Finance
578	SIFMA Policy Brief: Build America Bonds Add to Reading List Source URL: www.dol.gov Language: English - Date: 2013-08-02 08:06:04 Stock market Pension Employment compensation Securities Financial services Securities Industry and Financial Markets Association Financial Industry Regulatory Authority Retirement Defined contribution plan Financial economics Investment Economics
579	Securities Industry and Financial Markets Association Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-16 17:55:37 Finance United States securities law Financial markets Stock market NYSE Arca Securities Exchange Act New York Stock Exchange U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Financial system United States Securities and Exchange Commission
580	Accelerating Real Change June 18th 2014 #30pcchange @30percentclub Add to Reading List Source URL: 30percentclub.org Language: English - Date: 2014-06-18 11:39:35 Primary dealers Financial markets Bloomberg L.P. Peter Grauer HSBC McKinsey & Company Securities Industry and Financial Markets Association Donaldson Lufkin & Jenrette Morgan Stanley Investment Financial economics Investment banks

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