<--- Back to Details
First PageDocument Content
Financial regulation / Self-regulatory organizations / New York Stock Exchange / Financial Industry Regulatory Authority / Securities Exchange Act / Financial system / New York City / U.S. Securities and Exchange Commission / NYSE Arca / United States securities law / NYSE Euronext / Economy of the United States
Date: 2006-12-26 12:55:04
Financial regulation
Self-regulatory organizations
New York Stock Exchange
Financial Industry Regulatory Authority
Securities Exchange Act
Financial system
New York City
U.S. Securities and Exchange Commission
NYSE Arca
United States securities law
NYSE Euronext
Economy of the United States

Microsoft Word[removed]doc

Add to Reading List

Source URL: www.sec.gov

Download Document from Source Website

File Size: 39,19 KB

Share Document on Facebook

Similar Documents

Economy / Finance / Money / Investment / Financial services / United States securities law / Self-regulatory organizations / Brokerage firm / Financial Industry Regulatory Authority / Stockbroker / Yield spread premium

How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract

DocID: 1rpew - View Document

Economy / Finance / Money / Systemic risk / Financial markets / Self-regulatory organizations / Swap Execution Facility / Stock market / Financial risk / Electronic trading / Single-dealer platform / Commodity Futures Trading Commission

n Industry profile Rick McVey, MarketAxess Photos: Claudia Gannon “We’re evolving from a ‘client-to-multi-dealer’ e-trading venue to an ‘all-to-all’ approach that

DocID: 1royv - View Document

United States securities law / Self-regulatory organizations / U.S. Securities and Exchange Commission / Economy / Financial Industry Regulatory Authority / Law / Securities Exchange Act / Government / Securities regulation in the United States

SR-FINRANotice of Filing and Immediate Effectiveness

DocID: 1rngb - View Document

Economy / Financial regulation / Finance / Self-regulatory organizations / Canadian law / Canadian securities regulation / Ontario Securities Commission / Canadian Securities Administrators / 73rd United States Congress / U.S. Securities and Exchange Commission / Securities regulation in the United States / International Organization of Securities Commissions

Microsoft Wordindex1.doc

DocID: 1rl1G - View Document

Economy / Finance / Money / Self-regulatory organizations / United States securities law / Investment / Insurance / Securities Investor Protection Corporation / Financial Industry Regulatory Authority / Risk

JMB_Insurance_(4C)LogoReverse

DocID: 1rgcM - View Document