<--- Back to Details
First PageDocument Content
Commodity Futures Trading Commission / Net capital rule / SEC filings / U.S. Securities and Exchange Commission / Government / Futures contract / Financial statement / Securities Exchange Act / Financial regulation / Finance / United States securities law
Date: 2010-05-04 12:06:02
Commodity Futures Trading Commission
Net capital rule
SEC filings
U.S. Securities and Exchange Commission
Government
Futures contract
Financial statement
Securities Exchange Act
Financial regulation
Finance
United States securities law

CFTC Form 1-FR-IB Instructions

Add to Reading List

Source URL: www.nfa.futures.org

Download Document from Source Website

File Size: 210,40 KB

Share Document on Facebook

Similar Documents

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ----------------------------------------------------------x UNITED STATES SECURITIES AND : EXCHANGE COMMISSION,

DocID: 1t6bI - View Document

Economy / Finance / Money / Investment / Financial services / United States securities law / Self-regulatory organizations / Brokerage firm / Financial Industry Regulatory Authority / Stockbroker / Yield spread premium

How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract

DocID: 1rpew - View Document

United States securities law / Self-regulatory organizations / U.S. Securities and Exchange Commission / Economy / Financial Industry Regulatory Authority / Law / Securities Exchange Act / Government / Securities regulation in the United States

SR-FINRANotice of Filing and Immediate Effectiveness

DocID: 1rngb - View Document

U.S. Securities and Exchange Commission / Finance / United States securities law / Economy / Money / 73rd United States Congress / Crowdfunding / Stock market / Regulation D / Regulation A / Securities Act / Securities Exchange Act

United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued April 14, 2016 Decided June 14, 2016

DocID: 1rn4k - View Document

Economy / Business / Management / Corporate governance / Corporate law / SEC filings / Committees / Executive compensation / Proxy statement / Board of directors / Investor Protection and Securities Reform Act / Executive compensation in the United States

COMPENSATION COMMITTEE CHARTER (updated as of JuneI. Purpose and Authority

DocID: 1rmL5 - View Document