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Securities Investor Protection Corporation
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51	Microsoft Wordprivacy statementRev1-09.doc Add to Reading List Source URL: www.tradition.com Language: English - Date: 2009-02-17 13:32:00 Self-regulatory organizations United States securities law Identity management Law Privacy Internet privacy Medical privacy Securities Investor Protection Corporation Financial Industry Regulatory Authority
52	2016 General Disclosures Daiwa Capital Markets America Inc. Dear Valued Customer, We are taking this opportunity to make certain disclosures to you ("You" or "Client") and remind you of certain important SEC and SRO rule Add to Reading List Source URL: www.us.daiwacm.com Language: English - Date: 2016-02-04 11:04:33 Financial markets Stock market Self-regulatory organizations United States securities law Financial services Broker-dealer Algorithmic trading Securities Investor Protection Corporation Order Day trading Financial Industry Regulatory Authority NASDAQ
53	Corporates & Markets Global Economy and Capital Markets Forum: Audience Voting Results March 2016 Add to Reading List Source URL: cbcm.commerzbank.com Language: English - Date: 2016-03-18 11:52:36 Commerzbank Broker-dealer Investment banking Securities Investor Protection Corporation Frankfurt Corporate bond Derivative Financial market
54	Financial Services Guide Pershing LLC One Pershing Plaza Jersey City, New JerseyUSA ARBN: Add to Reading List Source URL: onlineinvesting.westpac.com.au Language: English - Date: 2016-07-07 23:59:10 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Bank of New York Securities Investor Protection Act Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Pershing LLC Security John J. Pershing
55	Rules Relating to Satisfaction of Customer Claims for Standardized Options 17 C.F.R. §As Amended Through February 2014 Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 United States securities law Self-regulatory organizations Investment Securities Investor Protection Corporation Financial markets Security Short Securities Exchange Act Securities Investor Protection Act DoddFrank Wall Street Reform and Consumer Protection Act
56	Media Contact: Amanda RemusStatement from the office of Irving H. Picard, SIPA Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS) Add to Reading List Source URL: www.madofftrustee.com Language: English - Date: 2015-11-18 11:15:12 Madoff investment scandal Great Recession Criminal investigation Economics Securities Investor Protection Corporation Bernard Madoff Irving Picard Madoff Recovery of funds from the Madoff investment scandal Participants in the Madoff investment scandal
57	Robinhood Financial, LLC Member FINRA/SIPC Robinhood Financial Customer Agreement In consideration of Robinhood Financial, LLC ("Robinhood Financial") and its agents and assigns (collectively "You" and/or "Your") opening Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:16 Financial markets Securities Investor Protection Corporation Broker-dealer Algorithmic trading Short Day trading Repurchase agreement Margin Security
58	Robinhood Sweep Program Disclosure Document Introduction Under the Apex FDIC-Insured Sweep Program (the “FDIC-Insured Sweep Program”), dormant cash in your brokerage account at Apex Clearing Corporation (“Apex”) Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:14 Economy Finance Money Bank regulation in the United States Systemic risk Federal Deposit Insurance Corporation Securities Investor Protection Corporation Deposit insurance Deposit account Bank Insurance Insured Network Deposit
59	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-11-20 09:00:46 Economy Finance Money United States securities law Self-regulatory organizations Crowdfunding Entrepreneurship U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Jumpstart Our Business Startups Act Securities Investor Protection Corporation Broker-dealer
60	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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