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Prudential Securities
Results: 172

#	Item
121	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]Advanced Series Trust, et al.; Notice of Application November 20, 2014 Agency: Securities and Exchange Commission (“Comm Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-21 09:56:22 Finance 76th United States Congress Institutional investors Financial adviser Investment Advisers Act Prudential Financial Mutual fund Investment Advisor Investment management Financial economics Investment Financial services
122	Australia: IOSCO Objectives and Principles of Securities Regulation--Detailed Assessment of Implementation; IMF Country Report[removed]; November 2012 Add to Reading List Source URL: www.imf.org Language: English - Date: 2012-11-21 08:53:12 Australia International Organization of Securities Commissions Australian Prudential Regulation Authority Australian Securities Exchange Australian Securities and Investments Commission Securities Commission Australian Financial Services License Financial regulation in Australia Financial system in Australia Economy of Australia Financial regulation Economy of Oceania
123	ASIC Stakeholder Survey[removed]December 2010 Report to the Australian Securities and Investments Commission Allen Consulting Group Pty Ltd Add to Reading List Source URL: www.acilallen.com.au Language: English - Date: 2013-09-25 22:21:07 Australian Securities and Investments Commission Australian Prudential Regulation Authority Economy of Oceania Economy of Australia Corporate governance Australian Securities Exchange
124	July[removed]Handbook of Prudential Requirements for Investment Intermediaries Page 0 of 12 Add to Reading List Source URL: www.centralbank.ie Language: English - Date: 2014-11-21 12:41:45 Collective investment scheme Funds Central Bank of Ireland Markets in Financial Instruments Directive Financial regulation in Australia Unidroit convention on substantive rules for intermediated securities Financial economics Investment Finance
125	Year 2000 Preparations in the Australian Banking and Financial System September[removed]Council of Financial Regulators Add to Reading List Source URL: www.rba.gov.au Language: English - Date: 2009-09-03 02:49:27 Financial economics Year 2000 problem Australian Securities Exchange Financial regulation Australasian Performing Right Association Clearing Australia Financial regulation in Australia Financial system in Australia Australian Prudential Regulation Authority Reserve Bank of Australia Economy of Australia
126	Pruco Securities, LLC Statement of Financial Condition Add to Reading List Source URL: www.retire.prudential.com Language: English - Date: 2013-09-19 15:17:18 Generally Accepted Accounting Principles Net asset value Net capital rule Prudential Financial Fair value Valuation Asset Equity Liability Finance Business Accountancy
127	Financial Conduct Authority Consultation Paper CP13/12 Add to Reading List Source URL: www.fca.org.uk Language: English - Date: 2014-08-15 17:47:02** United Kingdom Law Financial regulation European Union law Investment Capital Requirements Directive Markets in Financial Instruments Directive Undertakings for Collective Investment in Transferable Securities Directives Prudential Regulation Authority European Union directives Economy of the United Kingdom Financial economics
128	Microsoft PowerPoint[removed]Reilly-Julien KBW Presentation_v6_FINAL.pptx [Read-Only] Add to Reading List Source URL: www.raymondjames.com Language: English - Date: 2011-11-30 09:00:42 Financial economics Financial services Stifel Nicolaus Piper Jaffray Merrill Lynch Ameriprise Financial Raymond James Financial Goldman Sachs Prudential Securities Investment Investment banks Primary dealers
129	ROPES & GRAY LLP PRUDENTIAL TOWER 800 BOYLSTON STREET BOSTON, MA[removed]WWWROPESGRAY.COM Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-19 10:45:05 76th United States Congress Investment Advisers Act Investment Family office Financial regulation Economics Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser U.S. Securities and Exchange Commission Financial services Financial economics Finance
130	Australia: Financial Sector Assessment Program--Detailed Assessment of Observance of Standards and Codes; IMF Country Report[removed]; October 2006 Add to Reading List Source URL: lnweb90.worldbank.org Language: English - Date: 2009-05-05 02:50:25 Finance Government Business Bank regulation International Organization of Securities Commissions International Financial Reporting Standards Reserve Bank of Australia Regulatory compliance Central bank Financial regulation Australian Prudential Regulation Authority Corporate governance

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