Commodity broker

Results: 186



#Item
111Financial markets / Self-regulatory organizations / Financial services / Foreign exchange companies / Financial Industry Regulatory Authority / United States securities law / Foreign exchange market / Broker-dealer / Commodity Futures Trading Commission / Financial economics / Finance / Financial system

Microsoft Word[removed]doc

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Source URL: www.sec.gov

Language: English - Date: 2009-06-30 09:43:32
112Finance / Financial regulation / Commodities market / Commodity Futures Trading Commission / Futures contract / Short / Commodity broker / Commodity Futures Modernization Act / Financial economics / Financial markets / Financial system

Supplemental Questionnaire for FCMs - Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs

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Source URL: www.nfa.futures.org

Language: English - Date: 2013-03-28 14:28:56
113Futures contract / Commodity pool / Securities regulation in the United States / Financial system / Finance / Commodity broker / Commodities market / Financial economics / Commodity Futures Trading Commission

Self-Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs

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Source URL: www.nfa.futures.org

Language: English - Date: 2012-10-08 17:35:40
114Financial system / Commodity Futures Trading Commission / National Futures Association / Futures contract / Commodity pool / Foreign exchange market / Electronic trading platform / Securities regulation in the United States / Commodity broker / Commodities market / Financial economics / Finance

DOC Document

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Source URL: www.nfa.futures.org

Language: English - Date: 2013-05-17 10:54:49
115Financial markets / Commodities market / United States securities law / Commerce / Futures contract / Commodity Futures Trading Commission / Commodity broker / Commodity Exchange Act / Grain Futures Act / Financial economics / Financial system / Finance

TITLE 7—AGRICULTURE Chap. 1. 2.

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Source URL: uscode.house.gov

Language: English
116United States securities law / 73rd United States Congress / United States Securities and Exchange Commission / Financial markets / Commodity Futures Trading Commission / Securities Exchange Act / Broker-dealer / Futures contract / Federal Reserve System / Financial economics / Financial system / Finance

Order Granting Accelerated Approval of Proposed Rule Change to Membership Qualifications

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Source URL: www.sec.gov

Language: English - Date: 2012-05-07 10:18:19
117Investment / United States securities law / Finance / Securities Exchange Act / United States Securities and Exchange Commission / Floor broker / Day trading / Order / Commodity Futures Modernization Act / Stock market / Financial markets / Financial economics

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 21, 2012 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed R

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Source URL: www.sec.gov

Language: English - Date: 2012-11-23 07:07:04
118Goods / Commodity broker / Commodity Pool Operator / Futures contract / Commodity pool / Commodity Futures Trading Commission / Commodity market / Exchange / Commodity trading advisor / Commodities market / Financial economics / Investment

Microsoft Word[removed]doc

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Source URL: www.sec.gov

Language: English - Date: 2007-09-20 16:10:32
119United States securities law / Self-regulatory organizations / Financial Industry Regulatory Authority / Broker-dealer / Commodity Futures Modernization Act / Commodity Futures Trading Commission / Securities Exchange Act / U.S. Securities and Exchange Commission / Thinkorswim / Financial economics / Financial system / Finance

Notice of Filing of Proposed Rule Change as modified by Amendment No. 2 to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions

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Source URL: www.sec.gov

Language: English - Date: 2009-12-02 16:00:08
120Finance / Options Price Reporting Authority / National market system plan / Broker-dealer / U.S. Securities and Exchange Commission / Securities Exchange Act / Commodity Futures Trading Commission / Futures contract / Investment Advisers Act / Financial markets / Financial economics / Financial system

Microsoft Word[removed]doc

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Source URL: www.sec.gov

Language: English - Date: 2012-06-19 08:59:51
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