Related by context. Frequent words. (Click for all words.) 52 NASD 51 Finra 50 www.finra.org 50 FINRA 50 MML Investors Services 48 Member SIPC 46 Securities Dealers NASD 45 Ms. Schapiro 45 END FOOTNOTE 45 FINRA SIPC 44 Practising Law Institute 44 civil injunctive 44 IIROC 44 BrokerCheck 43 Harwood Feffer LLP 43 Arbitration Forum 42 Kessler LLP 42 www.nasd.com 42 SIFMA 42 Member FINRA 42 vFinance 42 MSRB 41 Industry Regulatory Authority 41 Advisers Act 41 NASAA 41 nonlawyers 41 TD AMERITRADE Holding 41 SECURITIES AND EXCHANGE COMMISSION 41 Toskes 40 PCAOB 40 NCOIL 40 USOBA 40 Managed Funds 40 L. Schapiro 40 GunnAllen 40 Executive Compensation 39 AXA Rosenberg 39 broker dealers 39 ConvergEx Group 39 adjudicative 39 arbitrations 39 Promontory Financial 39 & Toskes 39 Namfisa 39 SEC 39 Broker Dealer 39 PERB 39 arbitration 38 NAIC 38 EXCHANGE COMMISSION 38 Milberg LLP 38 OXPS 38 Finma 38 UDRP 38 Charles Schwab SCHW 38 CFO.com 38 Pershing LLC 38 ERISA 38 Chairwoman Mary Schapiro 38 Brian McNiff 38 broker dealer 38 Michael G. Cherkasky 38 Schapiro 38 brokerage firms 38 NAPFA 38 OSC 38 Variable Annuities 38 Reg FD 38 CAPIS 38 NAIFA 38 Audit Committees 38 Arbitration 38 Securities 38 Regulation NMS 37 Stephen Harbeck 37 TradeStation Securities 37 adjudicatory 37 RSM Richter 37 Barbara Roper 37 Insurance Commissioners NAIC 37 Mary Schapiro 37 SIPC 37 FSOC 37 ING Clarion Real Estate 37 Grievance Committee 37 NYSE GBL 37 quasi judicial body 37 'S WEB SITE 37 CFA Institute 37 EVCI 37 Mercer Bullard 37 Baker Hostetler 37 NAFCU 37 Bapepam 37 Options Clearing Corporation 37 CFTC 37 Institutional Investors 36 Compliance Inspections 36 Dodd Frank 36 Bingham McCutchen LLP 36 Van Kampen Investments