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Net capital rule
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1	Rules Relating to Supplemental Report on SIPC Membership 17 C.F.R. § Adopted MarchSECURITIES INVESTOR Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 United States securities law Finance Self-regulatory organizations Economy Investment Securities Investor Protection Corporation Government Securities Investor Protection Act U.S. Securities and Exchange Commission Net capital rule
2	Rules Regarding Closeout or Completion of Open Contractual Commitments Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 Investment Financial markets United States securities law Systemic risk Securities Investor Protection Corporation Repurchase agreement Securities Exchange Act Broker-dealer Net capital rule
3	Rules Relating to Accounts Introduced by Other Brokers or Dealers 17 C.F.R. §§Adopted October 1978 Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Stock market Security Financial markets Net capital rule Broker-dealer
4	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: 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
5	Wells Fargo Advisors Consolidated Statement of Financial Condition Add to Reading List Source URL: www.wellsfargoadvisors.com Language: English - Date: 2016-02-29 13:41:09 Generally Accepted Accounting Principles Wells Fargo Mark-to-market accounting Goodwill Net capital rule Asset Wachovia Repurchase agreement Income statement Accrual Security Equity
6	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
7	Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this announcement, make no representation as to its accuracy or completeness and expressly d Add to Reading List Source URL: file.cmbchina.com Language: English - Date: 2016-04-28 23:31:33 Banking Insurance Capital requirement International Financial Reporting Standards Mutual fund Asset liability management Shanghai Stock Exchange Derivative China Merchants Bank Net capital rule Basel III
8	Union Strikes and the Impact of Non-financial Stakeholders on Capital Structure∗ Brett W. Myers Alessio Saretto Add to Reading List Source URL: www.istfin.eco.usi.ch Language: English - Date: 2010-01-18 07:29:02 Corporate finance Labour relations Capital structure Leverage Trade union Strike action Systemically important financial institution Net capital rule Labor history of the United States
9	BNP Paribas Prime Brokerage, Inc. (SEC I.D. NoSTATEMENT OF FINANCIAL CONDITION AS OF JUNE 30, 2015 UNAUDITED Add to Reading List Source URL: primebroker.com Language: English - Date: 2015-09-03 15:25:57 Generally Accepted Accounting Principles Asset United States housing bubble Taxation Financial accounting BNP Paribas Asset liability management Accrual Fair value Security Deferred tax Net capital rule
10	Rules Relating to Supplemental Report on SIPC Membership 17 C.F.R. § Adopted MarchSECURITIES INVESTOR Add to Reading List Source URL: www.sipc.org Language: English - Date: 2016-06-03 14:53:38 United States securities law Self-regulatory organizations Investment Securities Investor Protection Corporation Securities Investor Protection Act U.S. Securities and Exchange Commission Net capital rule

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