Related by context. Frequent words. (Click for all words.) 56 Linda Thomsen 49 Finra 45 Ms. Schapiro 43 Internal Audit 42 PCAOB 42 Schapiro 42 Chairman Mary Schapiro 41 Special Counsel 41 Institutional Equity 41 SEC 40 FINRA 39 Dodd Frank 39 Cherkasky 39 Commodities Futures Trading 39 Kotz 39 Fraud Section 39 NASD 39 Arthur Levitt 38 Linda Chatman Thomsen 38 Comptroller 38 IOSCO 38 Mary Schapiro 38 Khuzami 38 Putnam Investments 38 Bisys 38 inspector general 38 Inspector General 38 antifraud 37 Professional Responsibility 37 CFTC 37 SIGIR 36 FinCEN 36 Employee Benefits Security 36 Lawyer Regulation 36 OFHEO 36 DTCC 36 IRS 36 Thrift Supervision OTS 36 FSA 36 Structured Products 36 Corporate Actions 36 Exchange Commission 36 Markopolos 35 Aite Group 35 OSC 35 Form 4s 35 Legislative Audit 35 Internal Controls 35 NASAA 35 Auditor 35 Company Accounting Oversight 34 comptroller 34 MSRB 34 Harry Markopolos 34 governmentwide 34 Internal Auditor 34 broker dealers 34 Broker Dealer 34 Thrift Supervision 34 Managed Account 34 mutual fund 34 XBRL 34 prospectuses 34 Investools 34 Congressional Ethics 34 auditing 34 Contract Compliance 33 GlobeOp 33 spokeswoman Julie Zawisza 33 MiFID 33 external auditors 33 Personnel Management 33 Robert Khuzami 33 Commodity Futures Trading 33 Professional Standards 33 Goodwin Procter 33 BaFin 33 Schwab Institutional 33 Legislative Ethics 33 DCAA 33 Investment Adviser 33 Armando Falcon 33 Bank Secrecy 33 BISYS 33 By Debra Cassens 33 CFO.com 33 By Miranda Hitti 33 Fiduciary 33 FILED WITH THE 33 Legislative Auditor 33 Auditor Controller 33 Housing Enterprise Oversight 33 algorithmic trading 33 Reg NMS 33 AXA Rosenberg 33 Barofsky 32 DoubleLine 32 Ofheo 32 RIAs 32 Auditing 32 Envestnet