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• Securities and Exchange Commission
  ...s industry, the nation's stock and options exchanges, and other electronic securities markets in the United States.
  349 bytes (53 words) - 15:41, 28 January 2021
• 28 - Securities Exchange Act Provision
  #REDIRECT [[28(e) - Securities Exchange Act Provision]]
  55 bytes (7 words) - 09:22, 14 September 2017
• Securities Exchange Act of 1934
  98 bytes (11 words) - 13:02, 7 May 2019
• 28(e) - Securities Exchange Act Provision
  *[[Securities Exchange Act of 1934]]
  149 bytes (15 words) - 11:36, 18 January 2020

Page text matches

• Prospectus liability
  Call the [[mediocre lawyer|attorneys]]! The [[Securities and Exchange Act|Securities and Exchange Act of 1933]] is lurking somewhere nearby. THIS IS NOT A DRILL {{c2|Securities|US Regulation}}
  232 bytes (33 words) - 10:17, 4 September 2017
• Securities and Exchange Commission
  ...s industry, the nation's stock and options exchanges, and other electronic securities markets in the United States.
  349 bytes (53 words) - 15:41, 28 January 2021
• SEC Rule 15c2-1
  ...ies Exchange Act of 1934]] that deals with [[rehypothecation]] of clients’ securities. See especially Rule 15c2-1(a)(1). *Rule [[15c3]] of the [[Securities Exchange Act of 1934]]
  424 bytes (64 words) - 18:44, 6 January 2021
• Regulation M
  [[Regulation M]] promulgated under the [[Securities Exchange Act of 1934]] is where you will find [[Rule 105]], about [[short s {{c|US Securities Regulation}}
  185 bytes (25 words) - 13:54, 28 September 2017
• SEC
  #redirect[[Securities and Exchange Commission]]
  47 bytes (5 words) - 15:20, 14 November 2016
• Exchange Act
  #redirect[[Securities Exchange Act of 1934]]
  44 bytes (5 words) - 13:01, 7 May 2019
• 28 - Securities Exchange Act Provision
  #REDIRECT [[28(e) - Securities Exchange Act Provision]]
  55 bytes (7 words) - 09:22, 14 September 2017
• Commodity Exchange Act of 1936
  *{{t|US Securities Regulation}}
  478 bytes (68 words) - 11:36, 18 January 2020
• Exchange
  ...ised [[venue]] which brings together bids and offers in certain types of [[securities]] and doesn’t look like an [[over-the-counter]] transaction. In the {{tag
  687 bytes (101 words) - 09:38, 15 March 2019
• Aggregation and allocation of orders - COBS Provision
  *(a) Client A for 100 securities; *(b) Client B for 80 Securities;
  2 KB (281 words) - 14:31, 5 February 2015
• 15c3
  ...’s vaunted Rule [[15c3]], “[[Customer protection - reserves and custody of securities]]” was enacted in 1972 with the intention to protect client accounts at ...ires [[broker-dealer]]s to [[segregate]] a portion of their [[cash]] and [[securities]] and keep them in protected accounts from which clients can withdraw their
  1 KB (182 words) - 13:25, 15 April 2019
• Exchange Delivery Settlement Price
  ...he Index value created by the intra-day auction in each of the constituent securities which is run specifically for that purpose by the London Stock Exchange.
  968 bytes (145 words) - 01:01, 2 August 2016
• United States of America
  ...vestment Advisers Act]], the [[Securities and Exchange Commission]], the [[Securities Act of 1933]], and [[US dollars]].
  619 bytes (87 words) - 16:55, 12 January 2020
• 28(e) - Securities Exchange Act Provision
  *[[Securities Exchange Act of 1934]]
  149 bytes (15 words) - 11:36, 18 January 2020
• Venue
  ...where they might play [[Pop songs which use legal concepts|pop songs]]. In securities and derivatives brokerage, it is a place where willing partipants can buy a
  871 bytes (128 words) - 08:42, 15 June 2022
• Broker-dealer
  The term {{tag|broker-dealer}} is used in US securities regulation (and in ISDA {{tag|netting}}) parlance to describe stock brokera ..., at Ellis Island and have not subsequently been registered with the {{tag|Securities and Exchange Commission}}. A [[registered broker-dealer]] denotes one of th
  3 KB (418 words) - 18:45, 6 January 2021
• Clearinghouse - CCP
  ...transactions. These transactions may be executed on a futures exchange or securities exchange, as well as off-exchange in the over-the-counter (OTC) market. A c
  2 KB (264 words) - 13:59, 8 September 2016
• Alternative trading system
  ...nder federal securities laws but is not required to register as a national securities exchange as long as it operates under the exemption provided under Exchange
  1 KB (174 words) - 15:29, 12 February 2019
• Delivery versus payment
  ...{{tag|securities}}. The process involves the simultaneous exchange of the securities (or the documents necessary to transfer them) with the agreed cash consider
  1 KB (199 words) - 18:56, 16 March 2020
• Regulation X
  ...the Federal Reserve Board regulation that implements Section 7(f) of the [[Securities Exchange Act of 1934]], governs credit limits and extends the margin rules ...y United States securities or to credit obtained by any US borrower to buy securities of an issuer organised outside the US and whose principal place of business
  920 bytes (143 words) - 10:05, 31 March 2021