Short-Term Borrowings Disclosure United States: Securities and Exchange Commission (SEC) September 17, 2010 Download “Short-Term Borrowings Disclosure” Other United States
SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers United States: Securities and Exchange Commission (SEC) July 31, 2013 Download “SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers” Press Release United States
Lehman Brothers Consolidated Supervised Entity Market and Credit Risk Review United States: Securities and Exchange Commission (SEC) Download “Lehman Brothers Consolidated Supervised Entity Market and Credit Risk Review” Report United States
Financial Responsibility Rules for Broker-Dealers United States: Securities and Exchange Commission (SEC) July 30, 2013 Download “Financial Responsibility Rules for Broker-Dealers” Minutes United States
Discussion & Analysis of Financial Condition United States: Securities and Exchange Commission (SEC) Download “Discussion & Analysis of Financial Condition” Regulation United States
Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management’s Discussion and Analysis United States: Securities and Exchange Commission (SEC) September 28, 2010 Download “Commission Guidance on Presentation of Liquidity and Capital Resources Disclosures in Management’s Discussion and Analysis” Other United States
Chairman Cox Announces End of Consolidated Supervised Entities Program United States: Securities and Exchange Commission (SEC) September 26, 2008 Download “Chairman Cox Announces End of Consolidated Supervised Entities Program” Press Release United States
Money Market Funds United States: Securities and Exchange Commission (SEC) March 04, 2010 Download “Money Market Funds” Statute United States
SEC Strategic Plan Fiscal Years 2010-2015 United States: Securities and Exchange Commission (SEC) June 07, 2010 Download “SEC Strategic Plan Fiscal Years 2010-2015” Report United States
SEC Settlement Agreement 2013 United States: Securities and Exchange Commission (SEC)JPMorgan Chase & Co. 2013 Download “SEC Settlement Agreement 2013” Agreement/Contract-General United States