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Broker-dealer
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31	Federal Register / Vol. 78, NoWednesday, April 10, Notices obligations. The Exchange does not believe that removing this functionality will disincentivize Market Makers from posting more aggressive quotes. Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:33 Economy Finance Money Self-regulatory organizations United States securities law U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act Securities regulation in the United States Broker-dealer Arbitration Arbitral tribunal
32	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-01 12:09:09 Finance Economy Money U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States Broker-dealer
33	BNP PARIBAS AMERICAS AT A GLANCE Add to Reading List Source URL: cdn-pays.bnpparibas.com Language: English - Date: 2016-07-14 13:09:08 Finance Banks Financial services BNP Paribas Primary dealers Investment banks CAC 40 Paribas Bank of the West Investment banking Broker-dealer ING Group
34	Microsoft Word - FINRA Rule 5320 Disclosure Add to Reading List Source URL: www.tradition.com Language: English - Date: 2012-03-06 07:51:09 Finance Money Economy Financial markets United States securities law Self-regulatory organizations Investment Broker-dealer Fixed income market Securities Investor Protection Corporation Financial Industry Regulatory Authority Order
35	TULLETT PREBON INFORMATION ONCE AGAIN RECOGNISED AS BEST DATA PROVIDER BY INSIDE MARKET DATA – TPI takes home award for 6th consecutive year following significant growth and product development – London, 24th May 201 Add to Reading List Source URL: www.tpinformation.com Language: English - Date: 2016-05-24 05:21:21 Finance Money Economy Tullett Prebon Inter-dealer broker Tullett Market data ICAP
36	Wall Street Lawyer led to some of the strongest, most productive companies in the world. I think it’s no accident that the American approach to capital markets, including SEC oversight, has been emulated by Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2015-04-01 10:48:59 Economy Finance Money Corporate crime U.S. Securities and Exchange Commission Securities regulation in the United States DoddFrank Wall Street Reform and Consumer Protection Act Public Company Accounting Oversight Board Securities Act Insider trading Registered Investment Adviser Broker-dealer
37	Terms and Conditions Governing Sub Account with OCBC Securities Private Limited(OSPL) (as the Depository Agent) In consideration of OSPL agreeing to open one or more sub-accounts and to accept instructions, relating or i Add to Reading List Source URL: portal.iocbc.com Language: English Finance Money Economy Stock market Financial markets Broker-dealer Fixed income market Security Investment
38	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-01 14:31:49 Finance Money Economy Financial markets Broker-dealer Short Securities Exchange Act Futures contract
39	TULLETT PREBON INFORMATION TO PROVIDE THOMSON REUTERS WITH INDIAN BOND DATA London, 16th October 2013: Tullett Prebon Information (TPI), a leading provider of independent real-time price information from the global OTC f Add to Reading List Source URL: www.tullettprebon.com Language: English - Date: 2013-10-15 07:12:48 Finance Money Economy Fixed income market Inter-dealer broker Financial data vendors Tullett Prebon Tullett Thomson Reuters Bond market Bond ICAP
40	SEC-Required Public Report on Routing of Customer Orders for Quarter Ending June 2016 Add to Reading List Source URL: www.wellsfargoadvisors.com Language: English - Date: 2016-07-26 15:11:12 Financial markets Financial services Primary dealers Stock market Investment banks Wells Fargo Citigroup Order Broker-dealer UBS New York Stock Exchange Dark liquidity

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