Broker-dealer

Results: 2401



#Item
741Risk / Audit / Financial audit / Center for Audit Quality / Generally Accepted Auditing Standards / Internal control / Accountant / Regulation S-X / AICPA Statements of Position / Auditing / Accountancy / Business

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

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Source URL: www.sec.gov.

Language: English - Date: 2010-11-18 17:08:40
742Investment / Broker-dealer / Securities Exchange Act / Trading room / Short / Security / Futures contract / Financial economics / Finance / Financial markets

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

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Source URL: www.sec.gov.

Language: English - Date: 2014-08-07 14:17:02
743Financial markets / Primary dealers / Financial services / Broker-dealer / Fixed income market / Security / Federal Reserve System / Registered Investment Advisor / Citigroup / Financial economics / Finance / Business

Division of Banks Opinion - New York Bank’s Authority To Offer Secured Discretionary Lines Of Credit In Washington State) - ISGC[removed]OGC

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Source URL: www.dfi.wa.gov

Language: English - Date: 2011-12-22 15:28:36
744United 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

#..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:

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Source URL: www.sec.gov.

Language: English - Date: 2007-08-24 14:36:05
745Financial 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

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 22, 2014 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov.

Language: English - Date: 2014-08-22 09:54:52
746Finance / Surety bond / Financial adviser / Securities Act / Broker-dealer / Bond / Bail / Sureties / Financial economics / Law

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 ____________________________________________

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Source URL: www.sos.ms.gov

Language: English - Date: 2014-08-06 14:52:49
747United 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

OCC 2007-XX (attachment) 72 FR 5

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Source URL: www.occ.gov

Language: English - Date: 2014-11-23 08:49:23
748Financial 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

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 18, 2014 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov.

Language: English - Date: 2014-08-18 14:34:41
749Securities 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

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

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Source URL: www.sec.gov.

Language: English - Date: 2009-10-02 15:24:08
750Financial 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

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 22, 2014 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov.

Language: English - Date: 2014-08-22 09:54:17
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