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Consumer Protection Commission
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#	Item
491	Exemptive Order: Order Pursuant to Sections 15F(b)(6) and 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions and Other Temporary Relief, Together with Information on Compliance Dates for New Provisio Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-06-23 17:43:31 73rd United States Congress United States Securities and Exchange Commission Finance 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Systemic risk U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Financial economics Financial regulation United States securities law
492	Notice of Filing of Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 to Amend the Listing Rules for Compensation Committees to Comply with Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-16 09:58:42 Business Financial regulation 73rd United States Congress United States Securities and Exchange Commission Financial economics Dodd–Frank Wall Street Reform and Consumer Protection Act Audit committee Regulation S-K Securities Act United States securities law Corporate governance Auditing
493	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-NSXJanuary 15, 2013 Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change as Modifie Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-29 13:07:06 73rd United States Congress Financial economics Finance SEC filings Dodd–Frank Wall Street Reform and Consumer Protection Act Systemic risk Securities Act Securities Exchange Act U.S. Securities and Exchange Commission United States securities law United States Securities and Exchange Commission Financial regulation
494	Final Rule: Shareholder Approval of Executive Compensation and Golden Parachute Compensation Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-02-08 23:20:31 Corporate governance 73rd United States Congress United States Securities and Exchange Commission Financial regulation Financial economics Proxy statement Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Act Proxy voting Business SEC filings United States securities law
495	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-BATSJanuary 11, 2013 Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3, and Order Granting Acc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-16 07:06:08 Financial regulation SEC filings United States Securities and Exchange Commission Business Law Dodd–Frank Wall Street Reform and Consumer Protection Act Regulation S-K Securities Act Audit committee United States securities law Corporate governance Auditing
496	Microsoft Worddocx Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-05-06 09:26:42 Financial markets Credit rating agency Nationally recognized statistical rating organization Net capital rule United States securities law Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Broker-dealer Securities Exchange Act Financial economics Finance Financial regulation
497	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMay 2, 2014 File No. S7-40-10 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-02 13:58:58 United States Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Financial regulation Financial economics Finance United States securities law 73rd United States Congress Securities Exchange Act
498	Proposed Rule: Prohibition Against Fraud, Manipulation, and Deception in Connection with Security-Based Swaps Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-03 14:31:35 Financial system 73rd United States Congress United States Securities and Exchange Commission 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Presidency of Barack Obama Securities Exchange Act Total return swap Credit default swap Financial economics Finance United States securities law
499	Final Temporary Rule: Extension of Temporary Exemptions for Eligible Credit Default Swaps to Facilitate Operation of Central Counterparties to Clear and Settle Credit Default Swaps Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-07-01 17:46:36 Credit default swap United States housing bubble Derivative Dodd–Frank Wall Street Reform and Consumer Protection Act LCH.Clearnet Swap U.S. Securities and Exchange Commission Repurchase agreement Security Financial economics Finance Financial system
500	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-NYSEMKTJanuary 11, 2013 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 3, and Order Granting Accelerated App Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-16 07:01:19 Auditing Financial regulation NYSE Euronext SEC filings Financial economics Audit committee Regulation S-K Dodd–Frank Wall Street Reform and Consumer Protection Act New York Stock Exchange United States securities law Corporate governance Business

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