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#	Item
741	Letter from SEC Director of Trading and Markets and the SEC Chief Accountant to Stephen Sammitti, Chair of the AICPA Stockbrokerage and Investment Banking Expert Panel concerning requirements for broker-dealer annual aud Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2010-11-18 17:08:40 Risk Audit Financial audit Center for Audit Quality Generally Accepted Auditing Standards Internal control Accountant Regulation S-X AICPA Statements of Position Auditing Accountancy Business
742	Case 2:14-cv[removed]FSH-MAH Document 1 Filed[removed]Page 1 of 23 PageID: 1 Cheryl L. Crumpton Kyle M. DeYoung Attorneys for Plaintiff Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-08-07 14:17:02 Investment Broker-dealer Securities Exchange Act Trading room Short Security Futures contract Financial economics Finance Financial markets
743	Division of Banks Opinion - New York Bank’s Authority To Offer Secured Discretionary Lines Of Credit In Washington State) - ISGC[removed]OGC Add to Reading List Source URL: www.dfi.wa.gov Language: English - Date: 2011-12-22 15:28:36 Financial markets Primary dealers Financial services Broker-dealer Fixed income market Security Federal Reserve System Registered Investment Advisor Citigroup Financial economics Finance Business
744	#..SEC-49 System name: Broker-Dealer Records. System location: Records filed before August 16, 1999: SEC, 450 Fifth Street, NW, Washington, DC 20549; and Records filed on or after August 16, 1999: Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2007-08-24 14:36:05 United States Securities and Exchange Commission Security Financial regulation Financial economics Financial system U.S. Securities and Exchange Commission United States securities law 73rd United States Congress Securities Exchange Act
745	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 22, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-08-22 09:54:52 Financial economics Financial regulation Financial system Securities Exchange Act U.S. Securities and Exchange Commission Securities Act Securities regulation in the United States Broker-dealer Securities and Exchange Commission United States securities law United States Securities and Exchange Commission 73rd United States Congress
746	STATE OF MISSISSIPPI SECRETARY OF STATE SECURITIES DIVISION POST OFFICE BOX 136 JACKSON, MISSISSIPPI[removed]Surety Bond Number ____________ Know all men by these presents, that ____________________________________________ Add to Reading List Source URL: www.sos.ms.gov Language: English - Date: 2014-08-06 14:52:49 Finance Surety bond Financial adviser Securities Act Broker-dealer Bond Bail Sureties Financial economics Law
747	OCC 2007-XX (attachment) 72 FR 5 Add to Reading List Source URL: www.occ.gov Language: English - Date: 2014-11-23 08:49:23 United States securities law Financial markets 73rd United States Congress United States Securities and Exchange Commission United States federal banking legislation Broker-dealer Securities Act U.S. Securities and Exchange Commission Federal Reserve System Financial regulation Financial economics Financial system
748	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 18, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-08-18 14:34:41 Financial economics Financial regulation Financial system Securities Exchange Act U.S. Securities and Exchange Commission Securities Act Securities and Exchange Commission Broker-dealer United States securities law 73rd United States Congress United States Securities and Exchange Commission
749	SEC-59 SYSTEM NAMES: Office of Interpretation and Guidance Log; Office of Broker-Dealer Finances NRSRO Log; Office of Financial Responsibility Log. SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street, NE, W Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2009-10-02 15:24:08 Securities and Exchange Commission Freedom of Information Act Security Privacy Act Politics of the United States Law Net capital rule Government Corporate crime U.S. Securities and Exchange Commission
750	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 22, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-08-22 09:54:17 Financial economics Financial regulation Financial system Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities Act Securities and Exchange Commission Broker-dealer United States securities law United States Securities and Exchange Commission 73rd United States Congress

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