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(Click for frequent words.) 63 Municipal Securities Rulemaking 62 Board MSRB 60 Finra 59 SIFMA 58 MSRB Rule G 58 NASD 57 FINRA 55 Regulation NMS 53 Proposing Release 53 Sifma 53 broker dealers 52 Dodd Frank 52 Lynnette Hotchkiss 52 portfolio margining 52 Ms. Schapiro 52 FINRA Rule 51 Reg NMS 51 NASD Rule 51 CFTC 50 OTC derivatives 50 Rule 2a 50 Proposed Rule 49 NRSROs 49 Reg SHO 49 IOSCO 49 Form ADV 49 DTCC 49 issuers 49 SEFs 49 FCMs 49 Cesr 49 FSOC 48 Schapiro 48 buyside 48 CESR 48 NAIC 48 Isda 48 OneChicago 48 NFMA 48 Erik Sirri 47 Brigagliano 47 TALF 47 Proposed Regulations 47 LSTA 47 OTC derivative 47 ISDA 46 stub quotes 46 MMFs 46 buyside firms 46 Mifid 46 BABs 46 END FOOTNOTE 46 Industry Regulatory Authority 46 JonesTrading 46 credit raters 46 buyside traders 46 Chairman Mary Schapiro 46 exemptive 46 spokesman Herb Perone 45 Rule #c# [001] 45 HFSB 45 NRSRO ratings 45 CCorp 45 Gary Gensler chairman 45 CAPIS 45 IIROC 45 OCIE 45 Summary Prospectus 45 NCOIL 45 CPSS IOSCO 45 ELX 45 Fiduciary Standard 45 Rule 2a 7 45 Zions Direct 45 CCPs 45 FASB 45 Advisers Act 45 Securities Regulators CESR 45 margining 45 AIFMD 45 NOPR 45 RIBO 45 NAPFA 44 MiFID 44 PCAOB 44 Sebi 44 Wolburgh Jenah 44 BrokerCheck 44 CSRC 44 NAFCU 44 Authority ESMA 44 securities 44 muni bond 44 Quadriserv 44 Regulation SHO 44 sellside 44 FSCO 44 http:/www.nasd.com 44 SLHCs 44 NASD Dispute Resolution 44 Options Clearing Corporation 44 Regulations.gov 44 NRSRO 44 commissioner Harvey Goldschmid 44 SROs 44 exemptive orders 44 David Tittsworth 44 Rule #a [002] 44 Michael Crooch 44 IAASB 43 Pinksheets.com 43 FSA 43 Sebi circular 43 SECP 43 ETAAC 43 PDCF 43 BondWave 43 Omgeo 43 ELX Futures 43 insured depository institutions 43 chairwoman Mary Schapiro 43 GASB 43 CBSX 43 ADV Part 43 Bruce Androphy 43 GSEs 43 EuroCCP 43 CUSIPs 43 Uptick Rule 43 CRAs 43 Getco 43 HFWG 43 muni issuers 43 counterparty exposures 43 FFIEC 43 Consolidated Supervised Entities 43 NBBO 43 Reg FD 43 Insurance Commissioners NAIC 43 TSLF 43 Gensler 43 Rule #a [001] 43 OTC Derivatives 43 EESA 43 clearinghouses 43 SEBI 43 Valukas 43 AIMR 42 NYSE Arca Equities 42 counter OTC derivatives 42 SEC 42 VRDO 42 actionable IOIs 42 FPPC 42 Form U4 42 Swap Dealer 42 brokerage firms 42 TARP recipients 42 SR ISE 42 Chair Mary Schapiro 42 FESE 42 WASHINGTON HedgeWorld.com 42 NYISO 42 decimalization 42 uninstructed shares 42 FpML 42 CPAB 42 InvestmentNews 42 TABB 42 ACCME 42 OIRA 42 Rule #b 42 IIABNY 42 GCA VS 42 Credit Derivatives 42 Chairman Gary Gensler 42 Mavent Expert System 42 BATS Options 42 MML Investors Services 42 www.finra.org 42 COSO 42 TABB Group 42 Walter Lukken 42 BONC 42 www.sipc.org 42 SIPC www.finra.org 42 muni 42 leveraged ETFs 42 Consob 42 EdgeTrade 42 Amerivest Investment Management 42 Remarketing Agents 42 micro prudential 42 spokesman Kevin Mukri 42 FIXatdl 42 Joe Ratterman 42 Orderly Liquidation Authority 42 sovereign CDS 42 CFTC Gensler 42 PPNs 42 Linda Fienberg 42 derivatives clearinghouses 42 DirectEdge 42 Xcitek 42 ETFC 42 FCIC 42 accelerated filers 42 Knight BondPoint 42 ATSs 42 FDAAA 42 rulemaking 42 NASCUS 41 Pratip Kar 41 Herb Perone 41 Oloyi 41 GlobeOp 41 PDEx 41 Ofheo 41 FHLBanks 41 FASB IASB 41 NIRI 41 CCH INSURANCE SERVICES 41 CDSs 41 Broker Dealer 41 please visit www.nyx.com 41 automatic declassification 41 CFP certificants 41 Brendan Intindola 41 GHCO 41 DIFX TraX 41 equity indexed annuities 41 ACLI 41 Bloomberg Tradebook 41 Elisse Walter 41 RESPA 41 PIANY 41 CP#/# 41 USAllianz 41 Prospectus Supplements 41 NAFMII 41 Annette Nazareth 41 securitizer 41 HKEx 41 Credit Facility PDCF 41 Section #I 41 Commissioner Elisse Walter 41 riskless principal 41 TLGP 41 Capital Requirements Directive 41 QFIIs 41 Leslie Seidman 41 NAIFA 41 SEC Rule #b 41 prospectuses 41 GoldenSource 41 Chairwoman Mary Schapiro 41 standardized OTC derivatives 41 nonregulatory 41 Walt Lukken acting 41 QFMA 41 lovebirds lips 41 CFP Board 41 IRTPA 41 SuperMontage 41 debit card interchange 41 Commodity Futures Trading 41 DPC DATA 41 Tradebook 41 Liquidnet Holdings 41 NASDAQ DubaiNASDAQ Dubai 41 HRBFA 41 unregulated derivatives 41 IFSB 41 ATA SRO 41 Financial Stability Board 41 NCUA 41 Lewtan 41 proposed rulemaking NPRM 41 Issuers 41 Track ECN 41 eSpeed definitive proxy 41 Overdahl 41 HFT 41 WESM 41 CCGG 41 Schedule UTP 41 Direxion 41 PDSs 41 DTCC Deriv SERV 41 #c# [004] 40 ICMA 40 interdealer brokers 40 Tradeweb 40 Appraisal Subcommittee 40 Farmer Mac 40 #c# [003] 40 FOIA exemption 40 AICPA 40 broker dealer 40 ASX hereinafter ASE 40 Sarbox 40 Charles Niemeier 40 Bagley Keene 40 FRB 40 FMCSA 40 Freddie Mac 40 Dark Pools 40 Clearinghouses 40 Mary Schapiro 40 regulator Sebi 40 Lukken 40 CAQ 40 Rule #h 40 Exposure Draft 40 http:/www.sipc.org 40 ISITC 40 CanDeal 40 Rich Adamonis 40 OSFI 40 IASB FASB 40 ex# [001] 40 DvP 40 depository institutions 40 etrade.com 40 SDCERS 40 Fulhorst 40 Walter Lukken acting 40 NetDelta 40 IRPAC 40 HKMA 40 WKSI 40 Erik Sirri director 40 counterparty risk 40 Defaulted securities 40 Futures Contracts 40 SEC Rule #c# 40 FBAR filing 40 Protegent Surveillance 40 NSX BLADE 40 CSBS 40 Eurex Clearing 40 auditor attestation 40 Archipelago Holdings 40 Arizona Revised Statutes 40 Rule #:#-# [002] 40 ERAC 40 FATCA 40 MMIFF 40 Alan Beller 40 Remuneration Code 40 COSO framework 40 XBRL tagged 40 FERC 40 triResolve 40 Compliance# 40 KIID 40 Rule #-#.# 40 Amending Directive 40 Quebec Autorité des 40 hedge funds 40 exchanges depositories 40 BlackRock Closed End 40 OFSA 40 QFC Regulatory Authority 40 ETP Holders 40 Stausboll 40 Deriv SERV 40 Derivative Fitch 40 FinCEN 40 CMVM 40 Ucits IV 40 BGCP 40 Portware 40 GAIN GTX 40 Andy Nybo 40 Synthetic Floating Rate 39 George Ruhana 39 ProShare Advisors LLC 39 NRSRO designation 39 CISX 39 CNMV 39 inverse ETFs 39 MTFs 39 NASD BrokerCheck 39 Petrasic 39 PowerShares ETFs 39 RiverSource Investments LLC 39 MCeX 39 Buyside 39 Options Symbology Initiative 39 CDS clearinghouse 39 eVestment 39 Commissioner Cynthia Glassman 39 NYSE Arca Options 39 CAISO 39 SGX 39 IOSCO Code 39 BYX 39 cross margining 39 QFCRA 39 Kolchinsky 39 ICMJE 39 counterparty 39 muni bonds 39 Stewardship Code 39 Commodities Authority ESCA 39 NYSE Arca 39 APCIMS 39 Triad Advisors 39 SERFF 39 MFDA 39 Nonbank 39 Council FSOC 39 NASD broker dealer 39 BIDS ATS 39 Interpretative Communication 39 NASAA 39 Rule #f 39 Guggenheim Funds 39 JCARR 39 Fixed Income Trading 39 NMVTIS 39 CFP designation 39 National Adjudicatory Council 39 MLSs 39 CDS Clearing 39 Ordinance #-# [002] 39 counterparties 39 XTGR 39 Counterparty Risk 39 Counter Derivatives 39 CTFC 39 Securities Regulatory Commission 39 EBSA 39 NYSSCPA 39 Commodity Futures Modernization Act 39 FHFB 39 NFA SIPC 39 Stock Exchange PSE 39 NGFA 39 Kalberman 39 CBRC 39 CIAB 39 iPath ETNs 39 Apcims 39 www.nyse.com 39 XBRL 39 Commissioner Annette Nazareth 39 ICGN 39 Structured Finance Transactions 39 Regulation FD 39 REIT TruPS CDOs 39 NASD FINRA 39 Lamfalussy process 39 BATS Exchange 39 MISRA C + 39 predecisional 39 Counterparty Criteria 39 otcmarkets.com 39 Linedata 39 ICE eConfirm 39 NACUSO 39 James Overdahl 39 CNBV 39 PlusFunds 39 Eurodollar futures contracts 39 BATS BZX Exchange 39 Importer Security 39 XBRL formatted 39 Bonds.com 39 Maijoor 39 marketmakers 39 CFPB 39 ProShares ETF 39 WEB SITE AT WWW.SEC.GOV 39 TruPS 39 Mutuals.com 39 EFAST2 39 FINRA Dispute Resolution 39 NYFIX 39 #KSB 39 central counterparty CCP 39 TFEX 39 Disclosure Requirements 39 PIABA 39 PERB 39 FOIA 39 S.E.C. 39 Securities Dealers NASD 39 nonbanks 39 http:/www.wallstreetgrand.com/disclosure.html 39 summary prospectuses 39 NASDAQ OMX BX 39 Nationally Recognized Statistical 39 FAA 39 IASB 39 Xtrakter 39 regulator AFM 39 LeveL 39 REMIC 39 SIGTARP 39 Fed 39 CDPCs 39 ATHEX 39 EHNAC 39 central counterparties CCPs 39 NRUCFC 39 certificants 39 Lobbying Disclosure Act 39 PIANJ 39 VRDOs 39 SBLF 39 PCII 39 ECNs 39 CSR #-#.# 39 SSUTA 39 CPFF 39 Basel Accords 39 centralized clearinghouses 39 Paperwork Reduction Act 39 SIPC http:/www.finra.org 39 FATCA provisions 39 Freadhoff 39 State Auditors Comptrollers 39 MHPAEA 39 MSPB 38 Interpretive Guidance 38 BrokerTec 38 XBRL tagging 38 Wymeersch 38 CFPA 38 La. RS #:# [003] 38 Loan Syndications 38 FINRA MSRB 38 ECFSA 38 Envestnet 38 Securities Commissions IOSCO 38 Code § #-# [001] 38 Shahrawat 38 MMSEA 38 FCM 38 OFHEO 38 substitute SBPA 38 DIFCA 38 NHTSA 38 VaR 38 brokerages 38 Form 8K filed 38 European Securitisation Forum 38 Mecane 38 Options Clearing Corp. 38 Dinallo 38 Kayla Gillan 38 Interest Rate Swap 38 Autorite des Marches Financiers 38 OPRA 38 SmallCap Market 38 non accelerated filer 38 David Gower P.Geo 38 SponsorMatch 38 Eddy Wymeersch 38 SPIAS 38 Grail Advisors 38 Firm# 38 uncleared swaps 38 FHLBI 38 Taxable Fixed Income 38 backed securities 38 FHFA 38 Wallison 38 Tina Kielmeyer 38 remisiers 38 IRSAC 38 Phlx 38 Organization NRSRO 38 WCIRB 38 NSCC 38 centralized quotation 38 macro prudential 38 MarkitSERV 38 MSDW 38 EDGX 38 FHA 38 Daniel Goelzer 38 NRRA 38 CDRH 38 regulatory arbitrage 38 CCFE 38 Loan Originator Compensation 38 JQC 38 Asset Backed Securitization 38 DebtX 38 CME Clearing 38 proposed rulemaking 38 VelocityShares 38 Comissao de Valores Mobiliarios 38 Corporate Governance Principles 38 Christi Harlan 38 Hector Sants FSA 38 NAPSLO 38 Position Limits 38 CPUC 38 Broker Dealers 38 Ambac 38 Amerivet 38 Accume Partners 38 L. Schapiro 38 HASTC 38 FSMA 38 IBSL 38 TransactTools 38 OSC 38 BYX Exchange 38 IRRC 38 Peterffy 38 Nasdaq Listing Rules 38 UCITS III 38 Amfi 38 MedPAC 38 IOIs 38 Gauzes 38 DCMs 38 Scivantage Maxit 38 OMVIC 38 ProShares 38 Default Status Reports 38 Rules #a 38 GLOBEX 38 CAQH 38 Gary Gensler 38 Investars 38 http:/www.otcbb.com 38 NDFs 38 Rydex Funds 38 CLO tranches 38 exemptive relief 38 FSMB 38 Fannie Mae 38 IDBs 38 ShareOwners.org 38 Luparello 38 CFA Institute 38 Managed Accounts 38 Mark Paustenbach Treasury 38 makes BrokerCheck 38 Simplified Prospectus 38 Mr. Wetston 38 derivatives 38 Reporting Obligations 38 CFFEX 38 interdealer quotation 38 capitalized minimums 38 Gasthalter 38 Occupational Pensions Regulatory Authority 38 NAUPA 38 Stephen Luparello 38 HedgeStreet 38 http:/www.nyse.com 38 Coldwell Banker Wardley 38 Lee Olesky 38 cusip number 38 Rule #T 38 munis 38 TradeWeb 38 NASTF 38 SunGard WealthStation 38 CFR § #.# [006] 38 DISB 38 Donald T. Nicolaisen 38 FAPIIS 38 accountant Donald Nicolaisen 38 AmerInst 38 NASD SIPC 38 NPSTC 38 CDS clearing 38 CFR #.# [007] 38 interbank 38 FCC 38 Hotspot FXi 38 XShares Group 38 iShares ETFs 38 TRANs 38 RegNMS 38 MBIA 38 Accounting Oversight Board 38 visit www.CFP.net 38 Investment Adviser 38 EIOPA 38 Mayor Doran Klakoski 38 BZX 38 Thomson TradeWeb 38 Schedule #N 38 IVSC 38 Actuarial Standards 38 GFSC 38 HITSP 38 Mattiuz 38 Nanex 38 QSG 38 FIX Protocol 38 Continuous Disclosure 38 Broadridge 38 FINRA arbitrations 38 SWIFT messaging 38 NYBX 38 Fixed Income Clearing 38 RealTick 38 MidPoint Match 38 Questcor 38 CDOs 38 GISCI 38 Portfolio Clearing 38 Revised Guidelines 38 SunGard Brass 38 Pink Sheets.com 38 Liquidity Risk 38 Townsend Analytics 38 RMAR 38 RYJ ETF 38 TMPG 38 AMFI 38 Voluntary Filing 38 IOER rate 38 Member SIPC 38 AHQA 38 Market Vectors Pre Refunded 38 FOMC 38 NOR DISAPPROVES THE CONTENTS 38 DoL 38 Miscellaneous Fares 38 Self Regulatory Organization 38 ASC X9 38 FundVest 37 SCR #:#.# [001] 37 FICC 37 BCFP 37 MIMPS 37 TriPoint Global Equities 37 Swapstream 37 prudential framework 37 Telekurs Financial 37 vFinance 37 OMB 37 Pastue 37 BLUAC 37 BaFin 37 Cusip 37 Listing Requirements 37 microprudential 37 SPI #TM Index 37 Neovest 37 CLPI 37 Counterparties 37 Keith Meinert 37 Ceiops 37 Section #A.# 37 SCASCA 37 BATS Trading 37 merchant FCM 37 OTC derivatives clearing 37 Nasdaq OMX PHLX 37 CEFs 37 Fabrice Tourre Goldman Sachs 37 Conversus 37 #.#.#R 37 Burden Reduction 37 Direct Edge 37 rulemakings 37 ConvergEx 37 B.5 37 NYSE NASD SIPC 37 FAIS Act 37 Macro prudential 37 Rev. Proc 37 § #.#-# [007] 37 CCTS 37 RH Patil 37 Cogent Consulting 37 FIX Protocol Limited 37 FDA 37 procyclicality 37 Q WIXX 37 Sally Dewar 37 mortgage servicers 37 IOSCO Technical 37 SPDR Lehman 37 Reg Z 37 Supplementary Financing Program 37 DMHC 37 OLCC 37 DHCR 37 PPIFs 37 counterparty clearing 37 Managed Funds 37 MIFID 37 Tricadia 37 FOLIOfn 37 EVCI 37 Symbol FS 37 SEF 37 spokesman Rich Adamonis 37 #data 37 illiquid securities 37 Amerivest 37 Voldstad 37 BondDesk 37 HUD RESPA 37 ConfirmHub 37 spokesman Neal McGarity 37 PJM 37 Decree #/#/ND-CP [001] 37 Zealous ATS 37 micro prudential supervision 37 De Larosière 37 TradeStation Securities 37 ECCHO 37 Consolidated Supervised Entity 37 Ladenburg Thalman 37 www.nasaa.org 37 Marketplace Rules 37 Paul Zubulake 37 PIPEDA 37 DOL 37 UPMIFA 37 TAVMA 37 visit www.nuveen.com cef 37 BMFBovespa 37 Designated Adviser 37 BATS 37 Orc Liquidator 37 Portware FX 37 PHMSA 37 GIPSA 37 Omnitek Engineering Corp. 37 HyperFeed 37 CFTC Commitments 37 Memorandum Circular MC 37 PPIF 37 DCML 37 mortgage originators 37 LCH.Clearnet 37 NSE 37 NAOPP 37 NASDAQ OMX PHLX 37 BondDesk Group 37 intermarket 37 Pruco Securities 37 Flash Crash 37 StanCorp Equities Inc. 37 Collateralised Debt Obligations 37 NISM 37 UNJSPF 37 legended 37 Joe Mecane 37 CBUAE 37 Eurodollars 37 Cypress Sharpridge 37 Structured Products 37 TradeStation 37 RIA Benchmarking Study 37 TOBs 37 ICFR 37 Tan Sri Zarinah Anwar 37 Larry Tabb 37 kasina 37 QPAM 37 NAAIM 37 Smart Order Routing 37 marketwide circuit breakers 37 prudential regulation 37 liquidity 37 JROC 37 Qtrade 37 Quantifi XL 37 depositaries 37 AFME 37 AML BSA 37 ASPPA 37 Broadpoint DESCAP 37 Statutory Liquidity Ratio SLR 37 Pink Sheets OTC 37 RTTM 37 www.fpanet.org 37 NCSBN 37 SZSE 37 Subtitle VII Part 37 IRC § 37 G Secs 37 CFR § #.# [005] 37 FTC Telemarketing Sales 37 Remarketing Agent 37 FHLBNY 37 NeoNet 37 www.cat.com sec filings 37 OES MarketGroup 37 Analyst CAIA 37 Oslo Børs 37 James Shorris FINRA 37 mutual fund 37 FFMS 37 Management Cease Trade 37 OTC Markets 37 CCIR Commander critical 37 mature serially 37 Nationally Recognized Municipal 37 GunnAllen 37 www.optionsclearing.com 37 Financial Institutions AAOIFI 37 FOFs 37 § 8C 1 37 ECN 37 CESR Fin 37 Folio Investing 37 CFR § #.# [004] 37 NAII 37 CalSTRS 37 MiFID compliant 37 Dealer Floorplan ABS 37 RICs 37 audited financials 37 OptionEase 37 Ms. Borzi 37 THE WEBSITE MAINTAINED 37 #b# [004] 37 AIFM 37 SIX Telekurs 37 BoNY 37 Modified Uptick Rule 37 BlackRock Advisors 37 Streaming Quotes 37 Thomas Quaadman 37 Brooksley Born 37 inspectional observations 37 CRIIMI MAE 37 CFPs 37 Supplement dated 37 Rust D'Eye 37 Distressed Debt 37 Abel Noser 37 CDISC 37 Autorité des marchés financiers 37 macroprudential 37 Extensible Business 37 municipals 37 ACH Transactions 37 Bapepam 37 CEIOPS 37 theSEC 37 Rayne Pegg 37 trade MONSTER 37 QDIAs 37 Fiduciary Asset Management 37 Transparency Directive 37 NYSE Liffe Clearing 37 WWTA 37 Capital Markets Subcommittee 37 NYSE Euronext 37 NSDL 37 IBIs 37 SREC 37 TRATRA 37 Temporary Guarantee 37 GNAIE 37 ANPRM 37 UCITS IV 37 FICM 37 IASCF 37 JER Investors Trust 37 SEC Regulation FD 37 Hotspot FX 37 Palaveev 37 MKTX 37 TrueSample Quality Council 37 BigBidder.com 37 Consultation Conclusions 37 MGAs 37 OptionsHouse 37 NAIC Suitability 37 Listing Deficiency 37 EquiLend 37 Bond Buyer 37 Fixed Income 37 Commodities Futures Trading 37 Interest Rate Derivatives 37 Rating Outlooks 37 Credifinance 37 RidgeWorth 37 algos 37 BZX Exchange 37 PSE 37 SEC Regulation SX 37 pinksheets.com 37 NCVHS 37 Immunicon filings 37 Geneos 37 Tabulation Agent 37 PBOC 37 HedgeFund.net 37 Citadel Diversified