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Broker-dealer
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#	Item
691	Final Rule: Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-01-08 13:20:23 Financial markets United States housing bubble Financial services Net capital rule Credit rating agency Nationally recognized statistical rating organization U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Broker-dealer Finance Financial economics Business
692	Comment Letter on File No. SR-FINRA[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-10 09:56:48 Finance Financial Industry Regulatory Authority Registered representative U.S. Securities and Exchange Commission Financial adviser Broker-dealer Annuity Securities Exchange Act Securities regulation in the United States United States securities law Financial economics Business
693	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Status: Accepted FOCUS REPORT Add to Reading List Source URL: strategy.duncanwilliams.com Language: English - Date: 2012-04-03 10:59:32 Financial economics Accounting systems Financial services Short Short selling Federal Reserve System Debits and credits Broker-dealer Bank Finance Business Financial markets
694	Microsoft Word - Analysis of FTC Authority to Ban Dealer Interest Rate Markups FINAL Add to Reading List Source URL: www.responsiblelending.org Language: English - Date: 2012-03-30 14:02:29 Business Personal finance Mortgage industry of the United States Yield spread premium Consumer protection Financial economics Dodd–Frank Wall Street Reform and Consumer Protection Act Mortgage broker Annual percentage rate United States federal banking legislation Consumer protection law Finance
695	CDIAC Webinar Regulatory Update: The Municipal Advisory Rules and Their Effect on Public Investments June 23, 2014 Questions and Answers Advice Add to Reading List Source URL: www.treasurer.ca.gov Language: English - Date: 2014-08-03 11:33:25 Business Investment Fixed income market Registered Investment Advisor Financial adviser Investment Advisor Broker-dealer Financial Advisor Bond Financial economics Finance Economics
696	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC[removed]DIVISJON OF TRADING AND MARKETS Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-02-27 12:08:50 Financial markets Financial services Fixed income market United States securities law Bonds Securities Industry and Financial Markets Association Broker-dealer Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Financial economics Financial system Finance
697	Regulation R: Exceptions for Banks from the Definition of Broker in the Securities Exchange Act of 1934 Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2013-08-02 21:44:22 Financial economics Financial regulation 73rd United States Congress Financial markets Broker-dealer Fixed income market Fiduciary Securities Act Securities Exchange Act Law United States securities law United States Securities and Exchange Commission
698	Microsoft Word - mabarth7542-1.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-09-01 14:07:47 Economy of the United States Investment Pacific Exchange Broker-dealer Futures contract Securities Exchange Act Stock exchange Self-regulatory organizations Financial economics Chicago Stock Exchange
699	August 18, 2008 Subject: BROKER DEALER INVESTMENT ADVISOR EXCEPTION Attention Interested Parties of the Professional Fiduciaries Bureau: This Advisory relates to “professional fiduciaries” in California acting as BRO Add to Reading List Source URL: www.fiduciary.ca.gov Language: English - Date: 2008-08-22 13:59:51 76th United States Congress Business Equity Legal professions United States securities law Investment Advisor Investment Advisers Act Fiduciary Financial adviser Law Finance Financial economics
700	November 8, 2013 Mr. Joseph Dear Chairman Investor Advisory Committee U.S. Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2013-11-12 14:53:36 Business Fiduciary Investment Advisor Investment Advisers Act Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser Broker-dealer U.S. Securities and Exchange Commission Registered Investment Advisor Law Finance Financial economics

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