Related by context. Frequent words. (Click for all words.) 44 Finra 44 Jared Blumenfeld 44 Linda Chatman Thomsen 43 Linda Thomsen 42 SCM Advisors 42 www.finra.org 41 SEC 41 Brandes Investment Partners 41 John Nester 41 San Francisco 40 Grail Advisors 40 BoNY 40 GunnAllen 40 DoubleLine 40 Barbara Roper 40 Lerach Coughlin 39 WG Trading 39 Chairwoman Mary Schapiro 39 FINRA 39 Gamco Investors Inc. 38 SDCERS 38 Khuzami 38 NASD 37 Securities 37 CalPERS 37 Relational Investors 37 Calpers 37 PCAOB 36 Chairman Arthur Levitt 36 Richard Breeden 36 Chairman Mary Schapiro 36 broker dealers 36 MSRB 36 Employees Retirement System 36 San Fransisco 36 Mercer Bullard 36 OCIE 36 Robert Khuzami 36 Annette Nazareth 35 brokerage firms 35 Schapiro 35 Ms. Schapiro 35 OSC 35 Calstrs 35 securities 35 Joseph Menn 35 Advisers Act 35 Exchange Commission 35 Employees Retirement 35 Dadante 35 'S WEB SITE 35 Compliance Inspections 35 Form ADV 35 Bob Burda 35 Charles Breyer 34 WWW.SEC.GOV 34 Amaranth Advisors LLC 34 Reg FD 34 San Franciso 34 hedge funds 34 Autorite des Marches Financiers 34 NASAA 33 Municipal Securities Rulemaking 33 Coughlin Stoia 33 L. Schapiro 33 Munder Capital Management 33 Arthur Levitt 33 fiduciary 33 SECURITIES AND EXCHANGE COMMISSION 33 option backdating 33 San Mateo Calif. 33 Teacher Retirement System 32 CFTC 32 Milberg Weiss 32 mutual fund 32 Industry Regulatory Authority 32 Sunny Chanel resides 32 YieldPlus 32 George Gascón 32 Archipelago Holdings 32 PIPEs 32 Coughlin Stoia Geller Rudman 32 CAPIS 32 Commodities Futures Trading 32 Prospectuses 31 Mary Schapiro 31 NRSROs 31 clawback provision 31 comptroller Alan Hevesi 31 Gensler 31 EXCHANGE COMMISSION 31 CalSTRS 31 fiduciaries 31 hedge fund managers 31 BrokerCheck 31 Judge Rakoff 31 options backdating 31 Ofheo 31 Harry Markopolos 31 Ethics Commission 31 Employee Retirement