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Commodity broker
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101	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]July 16, 2013 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectivene Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-18 13:39:58 Financial system Self-regulatory organizations United States Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Broker-dealer Commodity Futures Trading Commission United States securities law Financial regulation Financial economics
102	PDF Document Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-06-23 15:22:24 Finance Commodity pool Commodity broker Commodity Futures Trading Commission Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Futures contract Commodities market Financial economics Financial system
103	Corrected to conform to Federal Register Version SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 Release No[removed]; File No. S7[removed]RIN 3235-AL19 Retail Foreign Exchange Transactions Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-16 12:00:56 Finance Foreign exchange companies Financial markets Financial services Commodity Futures Trading Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Exchange rate Broker-dealer Securities Exchange Act Economics Foreign exchange market Financial economics
104	February 17, 2012 VIA ONLINE SUBMISSION Mr. David Stawick, Secretary Commodity Futures Trading Commission Three Lafayette Center Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-02-22 15:52:46 Systemic risk Stock market Commodity Futures Trading Commission Derivative Dodd–Frank Wall Street Reform and Consumer Protection Act Broker-dealer Hedge Futures contract Swap Financial economics Finance Financial system
105	Futures Commission Merchant Activities Add to Reading List Source URL: www.occ.gov Language: English - Date: 2014-08-31 08:43:39 Futures contract Derivative Hedge Commodity Futures Trading Commission Futures exchange Liquidity risk Commodities market Commodity broker Financial economics Finance Financial system
106	NFA Regulatory Requirements for FCMs, IBs, CPOs, and CTAs Add to Reading List Source URL: www.nfa.futures.org Language: English - Date: 2013-07-01 15:34:40 Financial system Business Bank Secrecy Act Futures contract Money laundering Customer Identification Program Commodity Futures Trading Commission Commodity pool Commodity broker Financial regulation Commodities market Finance
107	Microsoft Word - LEGALDOCS-#[removed]v5-FMLG__comment_letter_to_FINRA_re__Rul… Add to Reading List Source URL: www.ny.frb.org Language: English - Date: 2009-03-05 13:05:44 Financial system Finance Financial markets Financial services Foreign exchange market Financial Industry Regulatory Authority Broker-dealer Securities Exchange Act Commodity Futures Modernization Act Foreign exchange companies Financial economics United States securities law
108	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-26 11:32:27 Financial markets Commodity price indices Commodities market Futures contract Exchange-traded fund Commodity Futures Trading Commission Commodity market Commodity broker Continuous Commodity Index Financial economics Investment Finance
109	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]December 19, 2007 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Prop Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-20 10:30:15 Commodities market Options Clearing Corporation Futures contract Commodity Futures Trading Commission Commodity broker Commodity Exchange Act Derivative U.S. Securities and Exchange Commission Commodity Futures Modernization Act Financial economics Financial system Finance
110	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Amex[removed]December 3, 2004 Self-Regulatory Organizations; Notice of Filing of a Proposed Rule Change and Amendment Nos. 2, 3 and 4 Thereto by the Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-12-07 10:53:39 Commodities market Financial markets Futures contract Gold exchange-traded product Commodity Derivative Exchange Exchange-traded fund Commodity broker Financial economics Investment Finance

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