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Finance Commission
Results: 33689

#	Item
331	Administrative Notice General Dealer Member Rules UMIR Please distribute internally to: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-03-16 14:21:04 Economy Finance Financial regulation Investment Industry Regulatory Organization of Canada Business Canadian Securities Institute U.S. Securities and Exchange Commission Canadian securities regulation Securities Act Bankruptcy Universal Market Integrity Rules Exempt market dealer
332	CONFIDENTIAL FFHSJ DRAFTUNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C Add to Reading List Source URL: www.brookfieldofficeproperties.com Language: English - Date: 2014-09-02 17:38:25 Economy Finance Money Equity securities Stock market Corporate finance Shareholders Preferred stock Common stock Stock Board of directors Dividend
333	AugustNational Strategy for Financial Literacy contents Add to Reading List Source URL: www.die-curve.de Language: English - Date: 2014-05-13 03:46:27 Personal finance Financial literacy Organisation for Economic Co-operation and Development Commission for Financial Literacy and Retirement Income Finance Literacy
334	In case of discrepancies between the French and the English text, the French text shall prevail Luxemburg, 6 April 2016 Add to Reading List Source URL: www.cssf.lu Language: English - Date: 2016-04-06 12:19:25 Economy Finance Money Bank regulation Financial markets Deposit insurance Commission de Surveillance du Secteur Financier Fonds de Garantie des Depts Bank Market liquidity
335	ALABAMA SECURITIES COMMISSION 770 Washington Ave., Suite 570 Montgomery, AlabamaMail: Post Office BoxTelephone: (orFax: (Email: Website: Add to Reading List Source URL: asc.alabama.gov Language: English - Date: 2013-11-18 14:01:52 Economy Finance Money Stock market Financial regulation Spamming Ponzi scheme Securities fraud High-yield investment program Affinity fraud Pump and dump Mutual fund
336	MEDIA RELEASE International Organization of Securities Commissions Organisation internationale des commissions de valeurs Organização Internacional das Comissões de Valores Organización Internacional de Comisiones d Add to Reading List Source URL: www.iosco.org Language: English - Date: 2016-04-06 11:49:16 Economy Financial regulation International Organization of Securities Commissions Government Systemic risk Finance Securities commission Securities Commission of New Zealand Security Trinidad and Tobago Securities and Exchange Commission Canadian Securities Administrators
337	March 8, 2016 By E-Mail: Chair Mary Jo White Commissioner Michael Piwowar Commissioner Kara Stein Add to Reading List Source URL: www.ussif.org Language: English - Date: 2016-03-08 12:06:46 Finance Money Economy U.S. Securities and Exchange Commission 73rd United States Congress Systemic risk Corporate crime Securities Exchange Act US SIF Specialized investment fund DoddFrank Wall Street Reform and Consumer Protection Act Mutual fund
338	PDF Document Add to Reading List Source URL: www.ct.gov Language: English - Date: 2016-05-16 13:03:41 Primary dealers Banking Great Depression International finance Tax evasion UBS Performance management Financial Industry Regulatory Authority U.S. Securities and Exchange Commission
339	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-07-28 15:48:39 Economy United States securities law Finance Money Employee Retirement Income Security Act Fiduciary North American Securities Administrators Association U.S. Securities and Exchange Commission Financial adviser Financial Industry Regulatory Authority DoddFrank Wall Street Reform and Consumer Protection Act Employee Benefits Security Administration
340	Edition 1 Markets Regulation Client Newsletter – January 2014 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information is accurate Add to Reading List Source URL: cib.rbs.com Language: English Economy Finance Systemic risk Money Swap Execution Facility European Market Infrastructure Regulation Derivative Over-the-counter Commodity Futures Trading Commission Markets in Financial Instruments Directive DoddFrank Wall Street Reform and Consumer Protection Act Swap

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