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Broker-dealer
Results: 2401

#	Item
681	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
682	360 Madison Avenue New York, NY[removed]Telephone[removed]Fax[removed]www.bondmarkets.com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-05-10 16:45:29 Financial system Self-regulatory organizations Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Broker-dealer Security Municipal bond Asset-backed security Registered representative Financial economics Finance United States securities law
683	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date: [removed]:50 PM Status: Accepted Add to Reading List Source URL: strategy.duncanwilliams.com Language: English - Date: 2014-04-23 15:51:31 Financial economics Short Federal Reserve System Security Margin Broker-dealer Bank Debits and credits Portfolio margin Financial markets Finance Business
684	No-Action Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2008-12-09 11:44:43 Financial system Financial Industry Regulatory Authority Registered representative U.S. Securities and Exchange Commission Securities Exchange Act Securities Industry and Financial Markets Association Financial adviser Broker-dealer Selling away Financial economics United States securities law Finance
685	Form BD OMB APPROVAL OMB Number: [removed]Expires: November 30, 2010 Add to Reading List Source URL: www.state.tn.us Language: English - Date: 2013-02-13 10:38:18 Financial regulation 73rd United States Congress United States Securities and Exchange Commission Investment U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Securities Act Security Financial economics United States securities law Finance
686	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Date: [removed]:18 PM Status: Accepted Add to Reading List Source URL: strategy.duncanwilliams.com Language: English - Date: 2012-04-03 11:04:55 Financial economics Financial services Financial regulation Short Short selling Federal Reserve System Security Margin Broker-dealer Finance Financial markets Business
687	Microsoft Word - lcatalano2906 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-10 09:58:25 Financial system Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Registered representative Broker-dealer Registered Investment Advisor United States securities law Financial economics Self-regulatory organizations
688	660:[removed]Initial registration [AMENDED] (a) Broker-dealer. Each broker-dealer applying for initial registration pursuant to Section[removed]of the Securities Act: (1) who is contemporaneously applying for NASDFINRA mem Add to Reading List Source URL: www.securities.state.ok.us Language: English - Date: 2013-02-15 16:46:19 United States Securities and Exchange Commission Financial regulation Law New Deal Securities Act Finance Patent attorney Regulation S-K United States securities law SEC filings 73rd United States Congress
689	Broker-Dealer Finance and Financial Stability Add to Reading List Source URL: www.bostonfed.org Language: English - Date: 2014-09-05 15:13:12 Finance Late-2000s financial crisis Federal Reserve System Money market Short Market liquidity Repurchase agreement Bank Financial markets Economics Financial economics
690	October 11, 2013 Via Electronic Filing Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2013-10-15 11:23:44 Financial markets Investment Advisor Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Financial adviser Securities Industry and Financial Markets Association Broker-dealer Short Registered Investment Advisor Financial economics Finance Financial system

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