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Broker-dealer
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#	Item
911	Division of Trading and Markets Exemptive Orders and Exemptive, Interpretive, and No-Action Letters: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-11 16:52:29 Finance Financial markets Financial services Self-regulatory organizations Broker-dealer Fixed income market U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act United States securities law Financial economics Financial system
912	No-Action Letter: Morgan Stanley and Citigroup Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-05-14 10:12:52 Finance Financial services Broker-dealer Fixed income market Citigroup Morgan Stanley U.S. Securities and Exchange Commission Net capital rule Mutual fund scandal Investment Financial economics Primary dealers
913	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON. D.C[removed]D I V I S I O N OF MARKET REGULATION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-01-30 16:39:39 Finance Financial services United States securities law Corporate crime U.S. Securities and Exchange Commission Goldman Sachs Broker-dealer Investment banking Securities Exchange Act Financial economics Investment Financial markets
914	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON. D.C[removed]DIVISION OF MARKET REGULATION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-08-23 15:22:32 Financial markets Options Clearing Corporation Financial services Financial regulation Short selling Broker-dealer Short U.S. Securities and Exchange Commission Securities Exchange Act Financial economics Financial system Finance
915	UNITED STATES SECURlTlES AND EXCHANGE COMMISSION WASHINGTON. 0.C[removed]DIVISION OF Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-08-23 16:33:55 Financial system Financial regulation Financial services Broker-dealer Fixed income market Short Net capital rule Financial economics Financial markets Finance
916	Request for No-action Relief from Rule 17a-4 for Certain Form Filings Made on Web CRD Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-02-21 13:53:43 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Security Broker-dealer United States securities law Financial economics Financial system
917	L UNtTED STATES SECURITIES A N D EXCHANGE. COMMISSION WASHINGTON. D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-08-23 16:14:53 Financial system Financial markets United States Securities and Exchange Commission 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Financial Industry Regulatory Authority Securities regulation in the United States United States securities law Financial economics Finance
918	UNITED STATES SECURITIES A N D EXCHANGE COMMISSION WASHINGTON. D.C[removed]DlVlSlOH OF MARKET REGULATION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-08-26 09:21:07 Financial system Broker-dealer Short Options Clearing Corporation Chicago Board Options Exchange Warrant Securities Exchange Act Option Market maker Financial economics Financial markets Finance
919	LAW O F F I C E S O F LAWRENCE, K A M I NSAUNDERS , & UHLENHOP Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-08-23 15:17:38 Financial system United States securities law Futures contract Broker-dealer Commodity Futures Trading Commission Short Security U.S. Securities and Exchange Commission Margin Financial economics Financial markets Finance
920	I i UNITED STATES SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-08-23 16:36:03 Investment Financial markets Financial services United States Securities and Exchange Commission Chicago Board Options Exchange Securities Exchange Act Broker-dealer Option U.S. Securities and Exchange Commission Financial economics Finance Financial system

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