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Broker-dealer
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#	Item
61	Risk_Interdealer_Rank2012 Add to Reading List Source URL: www.tullettprebon.com Language: English - Date: 2014-09-04 08:59:10 Financial markets ICAP Tullett Prebon Tullett Electronic trading PLUS Markets Group Tradeweb Foreign exchange market Short Swiss franc Swap Inter-dealer broker
62	For UBS marketing purposes. Not for further distribution. For Professional Clients/Institutional Investors and Eligible Counterparties only. So much, so simply. UBS Neo: The first truly cross-asset investment banking pla Add to Reading List Source URL: about-neo.ubs.com Language: English - Date: 2016-07-24 13:26:57 Financial services Tax evasion Investment banks Great Depression UBS Warburg family Broker-dealer UBS tax evasion controversy BTG Pactual
63	ALABAMA SECURITIES COMMISSION POLICY STATEMENT CONCERNING LIMITED OFFERING EXEMPTION FILINGS MADE PURSUANT TO SEC RULES 504, 505 AND 506 OF REGULATION D Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2013-11-22 17:15:09 U.S. Securities and Exchange Commission Financial markets SEC filings United States securities law Stock market Regulation D Form D National Securities Markets Improvement Act Security Broker-dealer Securities market Securities Act
64	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-11 11:50:14 73rd United States Congress U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Broker-dealer
65	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-02-18 16:05:23 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States Broker-dealer Franchising
66	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-22 16:32:41 Financial markets 76th United States Congress Commodity markets Institutional investors Funds Exchange-traded fund U.S. Securities and Exchange Commission Broker-dealer Investment Advisers Act Futures contract Financial adviser Securities Exchange Act
67	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-07 11:05:00 U.S. Securities and Exchange Commission 73rd United States Congress Stock market Securities Exchange Act Securities regulation in the United States Broker-dealer Security SEC filing Form 144
68	Statement of Financial Condition In accordance with requirements of the Securities and Exchange Commission (the “SEC”) under SEC Rule 17a-5, the audited Statement of Financial Condition as of December 31, 2012 of BNP Add to Reading List Source URL: www.primebroker.com Language: English - Date: 2015-08-27 11:43:46 U.S. Securities and Exchange Commission United States securities law Financial markets 73rd United States Congress Broker-dealer Fixed income market Securities Exchange Act Margin Net capital rule Securities Act
69	2016 General Disclosures Daiwa Capital Markets America Inc. Dear Valued Customer, We are taking this opportunity to make certain disclosures to you ("You" or "Client") and remind you of certain important SEC and SRO rule Add to Reading List Source URL: www.us.daiwacm.com Language: English - Date: 2016-02-04 11:04:33 Financial markets Stock market Self-regulatory organizations United States securities law Financial services Broker-dealer Algorithmic trading Securities Investor Protection Corporation Order Day trading Financial Industry Regulatory Authority NASDAQ
70	Corporates & Markets Global Economy and Capital Markets Forum: Audience Voting Results March 2016 Add to Reading List Source URL: cbcm.commerzbank.com Language: English - Date: 2016-03-18 11:52:36 Commerzbank Broker-dealer Investment banking Securities Investor Protection Corporation Frankfurt Corporate bond Derivative Financial market

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