Related by context. All words. (Click for frequent words.) 67 Compliance Inspections 55 Finra 53 FINRA 53 PCAOB 53 Ms. Schapiro 52 Erik Sirri 52 chairwoman Mary Schapiro 50 Schapiro 50 Brigagliano 50 Barry Barbash 50 Advisers Act 50 di Florio 50 Linda Thomsen 49 USAllianz 49 Erik Sirri director 49 NASD 49 FinCEN 49 Eileen Rominger 49 CPAB 48 NASD Rule 48 Form ADV 48 NRSROs 48 HedgeOp 48 Examinations OCIE 47 ETAAC 47 CBN NDIC 47 Chuck Smrt 47 Proposing Release 47 IRS Exempt Organizations 47 Chairman Mary Schapiro 47 exemptive 47 Dodd Frank 47 Christi Harlan 47 AML BSA 47 FRRP 46 COSO framework 46 Kenneth Lench 46 Charles Niemeier 46 HRBFA 46 subadvisors 46 IAASB 46 DHS OIG 46 Scott Friestad associate 45 CFTC 45 MSRB 45 MSSB 45 ADV Part 45 Lorin Reisner deputy 45 FSOC 45 AARMR 45 TIGTA 45 GAAP Taxonomy 45 Form #SB 45 ResMAE 45 SEC 45 accountant Donald Nicolaisen 45 Enrico Dallavecchia 45 IOSCO 45 spokesman Herb Perone 45 Cherkasky 45 FINRA Rule 45 Khuzami 45 broker dealers 44 Reg NMS 44 Oloyi 44 Alan Beller 44 Consolidated Supervised Entities 44 Stephen Luparello 44 Wells Notices 44 MaloneBailey LLP 44 Form U4 44 Chair Mary Schapiro 44 James Brigagliano 44 Intermediary Oversight 44 GRC Governance Risk 44 S.E.C. 44 watchlisting 44 exemptive orders 44 Risk Factors contained therein 44 IRPAC 44 HedgeOp Compliance 44 Internal Controls 44 CESR 44 Walter Schuetze 44 LMSB 44 SIGIR 44 BrokerCheck 44 ICFR 44 microprudential 43 BSA AML compliance 43 Kayla Gillan 43 L. Schapiro 43 micro prudential 43 DBPR 43 CPSS IOSCO 43 departmentwide 43 portfolio margining 43 RDR compliant 43 auditor attestation 43 DeSano 43 XBRL tagging 43 JPDO 43 SIGTARP 43 EFX Prime 43 Prime Brokerage 43 SLHCs 43 eVestment 43 McColl Partners 43 William McLucas 43 BioMimetic filings 43 SPIAS 43 Internal Audit 43 GunnAllen 43 Jamil Khatri 43 SIGAR 43 HUD OIG 43 NRSRO ratings 43 insufficiently resourced staffed 43 Bisys 43 ComplianceTrak 42 Ennis Knupp 42 Navy Installations Command 42 prudential supervision 42 TRADOC 42 Mifid 42 Internal Investigations 42 JFSC 42 SEFs 42 IVSC 42 TradePMR 42 Ahmass Fakahany 42 Maj. Gen. Douglas Raaberg 42 RiverFront Investment Group 42 GEROVA 42 FSA 42 COSO 42 Aeltus Investment Management 42 OTC derivatives clearing 42 agencywide 42 Donald T. Nicolaisen 42 Fidelity Brokerage 42 Valerie Caproni 42 Exempt Organizations 42 SROs 42 Ms. Babitt 42 Fiduciary Standard 42 QHSR 42 Curian 42 Van Kampen Investments 42 Knight BondPoint 42 Institutional Equity 42 IOSCO Technical 42 UNJSPF 42 Institutional Fixed Income 42 Tina Kielmeyer 42 ISITC 42 finite reinsurance transactions 42 Internal Auditing 42 Accretive Solutions 42 Fe Barin 42 JROC 42 MMSEA 42 chairman Arthur Levitt 42 Summary Prospectus 42 Mary Schapiro 42 Director Linda Thomsen 42 Gen. Brad Heithold 42 Commissioner Annette Nazareth 42 EOUSA 42 OSC 42 Cliffwater LLC 41 HFWG 41 OpHedge 41 Quadriserv 41 MiFID 41 OSAM 41 Enforcement Network FinCEN 41 Xcitek 41 Legislative Auditor Daryl Purpera 41 Leslie Seidman 41 OIOS 41 ASPPA 41 IASB FASB 41 Donald Nicolaisen 41 paraplanning 41 predecisional 41 Rule 2a 7 41 Vanguard Quantitative 41 Amerivest Investment Management 41 Stewardship Code 41 Robert Garsson 41 dually registered 41 Wachovia Wealth Management 41 prudential regulator 41 Robert Plaze associate 41 Steve Linick 41 Voluntary Filing 41 Overdahl 41 workpaper 41 Regulation NMS 41 prudential oversight 41 Broker Dealer 41 OCC 41 bulge bracket firms 41 Jamie Forese 41 HFSB 41 OFPP 41 Commissioner Harvey Goldschmid 41 S. Shorris NASD 41 AML CFT 41 Markopolos 41 Bart McDade 41 prudential regulation 41 Qtrade 41 Disclosure Interpretations 41 Promontory Financial 41 nonbanks 41 Armando Falcon 41 Annette Nazareth 41 AS5 41 Kotz 41 SEI Advisor Network 41 ACH Transactions 41 Valukas 41 AppSec agentless approach 41 CAPIS 41 Aksia 41 Invesco AIM 41 NRSRO designation 41 Company Accounting Oversight 41 SJFHQ 41 BuckleySandler 41 OFHEO 41 Proposed Rule 41 Brendan Intindola 41 SECP 41 Treliant Risk Advisors 41 Cherwa 41 Uptick Rule 41 Jerker Johansson 41 NRSRO 41 WealthADV 41 Arthur Levitt Jr. 41 Silberman Robb commission 41 SSAE 41 ODCE 41 Hirtle Callaghan 41 FICC 40 CRAs 40 IRSAC 40 OFR 40 procyclical effects 40 adopting IFRS 40 Kalorama Partners 40 OTS 40 SERE psychologists 40 Ms. Borzi 40 AFBA 40 spokesman Kevin Mukri 40 #Qs 40 Musa Al Faki 40 AlphaMetrix 40 workpapers 40 FinCen 40 Gene Dodaro 40 CICA Handbook Sections 40 precaution Wiehle 40 Lorin Reisner 40 macro prudential 40 inspectional observations 40 supervisory 40 Operational Risk 40 Shana Madoff 40 Corey Ribotsky 40 DCMO 40 Chairwoman Mary Schapiro 40 external auditors 40 Sheesh Pal Vaid 40 Kay Grinsteinner 40 IBs 40 Employment Eligibility 40 FBI CJIS 40 Agria filings 40 Denett 40 macroprudential 40 paraplanner 40 FHFB 40 ESAI provides 40 unlicensed psychologists 40 Madoff niece Shana 40 Ms. Dannehy 40 J. Bosanko 40 Auditor Umesh Dalal 40 Clinger Cohen 40 Scott DeSano 40 MSRB Rule G 40 decimalization 40 GlobeOp 40 Reserves Inadequate 40 TriPoint Global Equities 40 ISOO 40 de Larosière 40 MorrisAnderson 40 Supervises 40 commissioner Roel Campos 40 Standards GIPS 40 FAIS Act 40 NetDelta 40 examiners 40 Enforcement Robert Khuzami 40 MSIM 40 Modly 40 EITF Topic D 40 SysTrust 40 CFP Board 40 anti moneylaundering 40 Dochow 40 Hewitt EnnisKnupp 40 Disclosure Controls 40 Deloitte Touche LLP 40 qualified ACA ACCA 40 MAJCOM 40 FoHF 40 OIPRD 40 auditee 40 buyside firms 40 Commodity Derivatives 40 NAPLEX 40 Pershing Advisor Solutions 40 GR NEAM 40 Clandestine Service 40 SunGard WealthStation 40 CSBS 40 MFC GIM 40 Frank Avellino 40 Item 9A 40 Treliant 40 CHRE 40 Don Hains P.Geo 40 Corporate Actions 40 Fiduciary 40 iMarkup 40 FSSC 40 Scottrade Advisor 40 Kanef 40 CCH INSURANCE SERVICES 40 Mutuals.com 40 HITSP 40 SGAM UK 40 Commodities Futures Trading 40 IPSAS 40 GHP Horwath 40 OCIO 40 FSPs 40 IFAC 40 MLRO 40 Meritage Portfolios 40 AICPA 40 SIPC Modernization 40 OFCCP 40 Charbo 40 BPOMS 40 operation Osamune 40 FRB 40 Spokeswoman Emily Langlie 40 Interpretive Guidance 40 OMIG 40 FRANK PEEBLES Citizen 40 By AOPA ePublishing 40 EVCI 39 Bureau CFPB 39 Asset Forfeiture 39 Sally Meloch 39 UCIS 39 Anton Valukas 39 DTCC 39 THE WEBSITE MAINTAINED 39 MaxHR 39 PRIMEVEST 39 CTAs 39 commissioner Harvey Goldschmid 39 PIAs 39 FASB Emerging 39 Forensic Audits 39 OTC derivatives 39 FCMAT 39 geochemists environmentalists international 39 Performance Standards GIPS 39 Takafumi Sato 39 Taxpayer Burden 39 Dole Shalala 39 Kengeter 39 counter OTC derivatives 39 MarkitSERV 39 Schwab Advisor 39 governmentwide 39 conservatorships 39 NCCPA 39 Statutory Auditors 39 Maud Mater 39 & K CPAS 39 4BETTER OR WORSE 39 nonbank subsidiaries 39 CDER 39 Ofheo 39 RoCs 39 WEB SITE AT WWW.SEC.GOV 39 Graystone Consulting 39 FINRA BrokerCheck 39 SOCom 39 broker dealer 39 SarbOx 39 PortfolioServices 39 AADB 39 JTF CS 39 Compensation Committees 39 Kellogg Specialists 39 F.B.I. 39 Roxann Bramlage 39 NASD FINRA 39 Consolidated Supervised Entity 39 Structured Products 39 NTSB Mark Rosenker 39 Fortigent 39 Daniel Goelzer 39 Virtus Mutual Funds 39 FCPA compliance 39 AIMR 39 MassPRIM 39 Sarbox compliance 39 Fiduciary# 39 JCARR 39 Katherine Addleman 39 Cesr 39 Combatant Command 39 SMMP 39 OCC OTS 39 Arcland 39 Lamfalussy 39 Pentegra 39 Rogerscasey 39 AFBA 5Star Funds 39 CCorp 39 combatant command 39 DiscoverReady 39 Transcept periodic 39 Sarbox 39 EIOPA 39 DNDO 39 Arthur Levitt 39 PMB Helin Donovan 39 Reducing foodborne illness 39 Towergate Financial 39 Terrorist Financing Operations 39 IOSCO Code 39 Simplified Prospectus 39 PIMCO Advisors 39 Securities Regulators CESR 39 Thrift Supervision OTS 39 Broker Dealers 39 ICE OPR 39 HedgeFund.net 39 FATCA 39 credit raters 39 Favrille filings 39 Atalanta Sosnoff 39 Ethiopis Tafara 39 YH Malegam 39 organizational structure 39 Schedule UTP 39 FIDAC 39 Labwire 39 GAO auditors 39 Lamfalussy process 39 Armanino McKenna 39 Unmovic 39 Fiduciary Asset Management 39 Sarbanes Oxley SOX 39 AppDetectivePro 39 Portfolio Rebalancing 39 UniFi PRO 39 MZT Holdings 39 Director Penston Kilembe 39 Rule 2a 39 IG 39 Matsec 39 Stradley Ronon 39 antifraud 39 Xtiva 39 OCDETF 39 Maj. Gen. Eldon Bargewell 39 NISM 39 · Coordinate 39 RANDY FIEDLER Advocate 39 UITF 39 BOEM 39 ALaS 39 CPEX filings 39 Audit Conflicts 39 CFP designation 39 EBSA 39 Corporate Governance Principles 39 Remuneration Code 39 www.finra.org 39 spokesman Vincent Loporchio 39 Alicia Korney Editor 39 DesPrez 39 Maltese Ecclesiastical Province 39 Fund SERV 39 IBIs 39 FHFA 39 eSpeed definitive proxy 39 RiverSource 39 Spear Leeds 39 ACEDS 39 Portfolio Clearing 39 Guidepost Solutions 39 KPMG Peat Marwick LLP 39 Garsson 39 Cono Namorato 39 Michael G. Cherkasky 39 FIU IND 39 FASB IASB 39 NCSBN 39 Notice #-# [001] 39 CSIM 39 MSCM LLP 39 Joseph Emas 39 boards IRBs 39 HighTower 39 Art Certosimo 39 AIFMD 38 Mr. Wetston 38 Marcum LLP 38 PFPC 38 Inc. HSBSB 38 BHCs 38 GISCI 38 DoD IG 38 micro prudential supervision 38 Movaris 38 Bruce Karpati assistant 38 Arghandab Laity 38 financial reporting ICFR 38 DWS Scudder 38 Interagency Guidance 38 Authority ESMA 38 Accountabilities 38 Actuarial Standards 38 Paladyne Analytics Master 38 FATCA provisions 38 AudioCodes filings 38 Pasciucco 38 Pruco Securities 38 Lunarline 38 NAPFA 38 Sparks P. Eng 38 DCAA 38 NYSSCPA 38 Darrin Blackford Secret Service 38 KSAs 38 JERRY GERLING Advocate 38 GAO Neel Kashkari 38 GIPS compliant 38 central counterparty CCP 38 Money Laundering Regulations 38 William Ruberry spokesman 38 Mark Rosenker NTSB 38 Pearson P.Eng 38 EEO 38 Ed DeSeve 38 Michael Cherkasky 38 Conversus 38 Cytec filings 38 Goldwater Nichols 38 Sandelman Partners 38 OIRA 38 Greenwich Associates 38 QCF level 38 Wolburgh Jenah 38 BCFP 38 Philip Zisman 38 DNI 38 Aditech Accounting Services 38 CC Downie P.Geo 38 RK Raghvan 38 divisional SPs 38 Internal Audits 38 NYSID 38 Proposed Regulations 38 Herb Perone 38 CDRH 38 certificants 38 David Kenmir 38 uncharted waters Potter 38 Continuous Disclosure 38 GAO 38 nonregulatory 38 LaBranche 38 bylaw #.#.# 38 De Larosière 38 KPMG LLP KPMG 38 XBRL formatted 38 brokerage firms 38 IRA rollovers 38 ensnared Ney 38 NSABB 38 Task Force SAFE 38 JEFF STOKOE Advocate 38 James Overdahl 38 Professional Responsibility OPR 38 www.cfp.net 38 Peter Niculescu 38 IASC Foundation 38 ACE Casualty 38 Gramercy Realty 38 Bioenvision filings 38 NCATE 38 Edsparr 38 Kim Strach 38 Managed Accounts 38 Equal Employment Opportunity EEO 38 CPWA 38 Michael Rollins KGW.com 38 Counterparty Risk Management 38 DLSE 38 IASCF 38 Kerviel superiors 38 Merrick Bobb 38 xxxi adverse tax 38 Pyramis 38 SCASCA 38 Fixed Income 38 Schwab Institutional 38 Bancinsurance 38 KMPG LLP 38 Taxable Fixed Income 38 subadviser 38 JH Cohn LLP 38 CNLOPB 38 Sheryl Steckler 38 Wirehouse 38 Compushare 38 RiverSource Investments LLC 38 CP#/# 38 Bellatore 38 NCUA examiners 38 vi ineffectiveness 38 inspector general 38 Susanna Malcorra 38 ICE eConfirm 38 FAMS 38 ITIL framework 38 RGL Forensics 38 Capture Billing 38 QSPEs 38 TTIC 38 Bryan Marsal 38 ALUC 38 FSIO 38 Council FSOC 38 NSDL 38 WeiserMazars LLP 38 InvestmentNews 38 Zodwa Ntuli 38 Investment Advisers 38 leaders MedPredict publishes 38 auditees 38 FirstPay 38 MaloneBailey 38 Citadel Diversified 38 Jon Lukomnik 38 CICA Handbook 38 organogram 38 Inalytics 38 backpedal issuing 38 AFOSI 38 Irina Parkhomenko spokeswoman 38 AEPG 38 Sally Dewar 38 SORP 38 Schlozman 38 Bonds.com 38 Rapid Deployment Joint 38 Andre Birotte 38 C. Breeden 38 Chairman Arthur Levitt 38 OTCBB NEITHER APPROVES 38 PEO EIS 38 Legislative Ethics 38 Richard Breeden 38 AUQA 38 Combatant Commander 38 BNY Asset Management 38 liquidity buffers 38 DPSCS 38 Kinti Mining Lmtd 38 SACS CASI 38 wirehouse brokers 38 insured depository institutions 38 Reg SHO 38 CAQ 38 Accume Partners 37 Activision Publishing maintains 37 FPMI 37 NYLIM Retirement Plan 37 INTOSAI 37 HighTower Advisors LLC 37 Quaadman 37 T2 snubber arm 37 Alexander Vroustouris 37 Kellermann oversaw 37 Sifma 37 Reznick Capital Markets 37 spokesman Duane DeBruyne 37 GPAM 37 dual hatted 37 Omnitek Engineering Corp. 37 Counterparty Risk 37 initiate delisting 37 FCAG 37 Institutional Asset Management 37 AmCorp Management 37 GAAP Taxonomies 37 CFPB 37 IAIP 37 PortfolioCenter 37 CheckFree APL 37 Finadium 37 H. Rodgin Cohen 37 EOIR 37 CYBERCOM 37 Robeco Sage 37 probity auditor 37 advisery 37 SkyLynx 37 severely understaffed 37 Al Faki 37 CICA Accounting Guideline 37 Sunovia filings 37 Joseph M. Velli 37 Disclosure Requirements 37 Dark Pools 37 buyside traders 37 Ucits IV 37 Nexia ceased 37 CBRC 37 AIFRS 37 CESR Fin 37 Sarbanes Oxley Act 37 AdvisorOne 37 VanthedgePoint 37 Undersecretary Rand Beers 37 Orderly Liquidation Authority 37 HDGE 37 Section #.#E 37 Wooditch 37 wirehouses 37 Barofsky 37 EHNAC 37 Attorney Howard Sklamberg 37 Citrin Cooperman 37 AGS Specialists LLC 37 NorthCom 37 OFRs 37 NASD Dispute Resolution 37 AFOTEC 37 CGAAP 37 fi# 37 Gregory Mocek 37 OIG 37 CCH TeamMate 37 Form 8K filed 37 PriceWaterhouseCoopers LLP 37 DoubleLine 37 Governmentwide Policy 37 Multinational Forces Iraq 37 Thrift Supervision 37 GunnAllen Financial 37 Shorris 37 PricewaterhouseCoopers LLP Chartered Accountants 37 Selero 37 CCPs 37 NASDAQ OMX BX 37 DFCS 37 Notified Bodies 37 JFIIT 37 Pricewaterhouse Coopers LLP 37 RH Patil 37 Mayor Doran Klakoski 37 standardized OTC derivatives 37 wirehouse 37 SOX compliance 37 duplicative 37 Lowitt 37 Susan Wyderko 37 Krawcheck 37 Gregory Kutz 37 BizRights 37 Mr Sants 37 IRS 37 SEAB 37 Generally Accepted 37 Language XBRL 37 FCMs 37 Rohit D' Souza 37 WealthStation 37 FDAAA 37 promulgate regulations 37 institution Buttry 37 RushGroup 37 GSA OIG 37 BRITISH COLUMBIA SECURITIES COMMISSION 37 HMIC 37 NCBTMB 37 DYFS caseworkers 37 Cobit 37 Comptroller Hevesi 37 W. Friestad 37 select subadvisers each 37 Subadviser 37 kasina 37 consultant Ennis Knupp 37 OSCR 37 BNY Brokerage 37 FFIs 37 Walter Lukken 37 ActiFi 37 Putnam Lovell 37 SWIFT messaging 37 SARFAESI 37 balances Azha 37 Audit Committees 37 Director Robert Khuzami 37 Don Nicolaisen 37 UCITS IV 37 Linedata Compliance 37 actuarial profession 37 macroprudential oversight 37 Counterterrorist Center 37 Assentor 37 ArmorGroup guards documents 37 IDFPR 37 summary prospectuses 37 Putnam Fiduciary Trust 37 NYISO 37 Cogent Consulting 37 Ms Diplock 37 NOPR 37 Director RT Harbo 37 MNPS 37 Authorised Firms 37 Services LLC HmyCFO 37 Rule #a [002] 37 WebCPA 37 TCDI 37 Cenlar 37 UVEST 37 BoNY 37 LegalKEY 37 ThomasLloyd Global 37 Heddell 37 mortgage servicers 37 Employee Misclassification 37 Options Symbology Initiative 37 Lukken 37 Accredited Investor 37 NAIC Model 37 SAS# Type 37 Offensive coordinator Keith Gilbertson 37 HighTower advisors 37 AccountAbilities 37 FESE 37 Joseph Votel 37 Stafford Covey 37 nonbank institutions 37 DFSADFSA 37 Ian Lowitt 37 Altisource 37 TARP Neil Barofsky 37 ACGME 37 bioMETRX filings 37 IACUC 37 Guy Carpenter 37 END FOOTNOTE 37 DMEPOS suppliers 37 Commissioner Cynthia Glassman 37 prudential regulations 37 Madoff 37 Strategic Command USSTRATCOM 37 Sarbanes Oxley compliance 37 IMETs 37 QSound periodic reports 37 Stonefield Josephson 37 Extensible Business 37 Acquisition Advisory Panel 37 Probitas Partners 37 Profiler Rx 37 Marani Brands filings 37 Compensation Disclosure 37 UCITS 37 Fiduciary Trust 37 Ucits 37 BINUB 37 CEFEX 37 Helene Glotzer 37 FSSCC 37 Projector Lamp Services 37 visit www.CFP.net 37 DOD IG 37 PHMSA 37 CBUAE 37 NAAIM 37 Kojm 37 AGS STR OTA 37 Erdoes 37 IFMI 37 Qualified Intermediaries 37 Sponsoring Organizations 37 ACABQ 37 BioCryst files 37 OneChicago 37 SFAS No.# 37 STEB 37 Immunicon filings 37 #KSB 37 prosecutor Lawrence Pedowitz 37 MEGs 37 AFCYBER 37 CHCO 37 Institutional Equities 37 ITresources 37 Financial Institutions Regulatory 37 CRA 37 Professional Responsibility 37 Bolejack 37 prudential framework 37 Governance Professionals 37 Subtopic #-# 37 Chester Spatt 37 Axa Elevate 37 BNY Capital Markets 37 Bloomberg Tradebook LLC 37 subadvisory 37 OFPP administrator 37 PCI SSC 37 http:/www.sipc.org 37 nonaudit 37 FHLBanks 37 Theo Lubke 37 QDIA 37 AXA Rosenberg 37 Swidarski 37 directorates 37 Yucheng filings 37 FPPC 37 CIKR 37 OSSG 37 RESPA 37 Roland Weichert 37 egX Canada 37 Compliance# 37 Hearings Panel 37 FFIEC 37 Farhad Ahmed 37 MDT Advisers 37 David Gower P.Geo 37 TDX Independence Funds 37 Xtrakter 37 FASB 37 Squar Milner 37 CSSIW 37 KIID 37 BISYS 37 Robert G. Jaekle 37 CRIIMI MAE 37 Investment Adviser 37 credentialed tutor 37 Congressionally appointed 37 Hennessee Hedge Fund 37 loan originators 36 symbol TIBB 36 Mansur Alam 36 CSRC 36 RJFS 36 Systemically Important 36 prewar intelligence lapses 36 Jennison Associates 36 Capital Disclosures 36 Scorex 36 Jill LeMaster 36 Rule #h 36 Knight Libertas LLC 36 VDOE 36 regulatory arbitrage 36 SHEQ 36 Sarb Ox 36 DIMHRS 36 SSgA Funds Management