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Financial Industry Regulatory Authority
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21	Federal Register / Vol. 78, NoWednesday, April 10, Notices obligations. The Exchange does not believe that removing this functionality will disincentivize Market Makers from posting more aggressive quotes. Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:33 Economy Finance Money Self-regulatory organizations United States securities law U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act Securities regulation in the United States Broker-dealer Arbitration Arbitral tribunal
22	PDF Document Add to Reading List Source URL: gflec.org Language: English - Date: 2016-02-26 15:41:56 Annamaria Lusardi Economy Financial literacy Finance Literacy Money Financial Industry Regulatory Authority
23	Federal Register / Vol. 77, NoFriday, April 13, Notices DCO, which is subject to regulation by the CFTC under the CEA. This rule Add to Reading List Source URL: www.batsoptions.com Language: English - Date: 2012-06-15 13:38:41 Law Financial Industry Regulatory Authority United States securities law Securities Industry and Financial Markets Association Economy U.S. Securities and Exchange Commission Government Securities Exchange Act Class action Rulemaking
24	Microsoft Word - FINRA Rule 5320 Disclosure Add to Reading List Source URL: www.tradition.com Language: English - Date: 2012-03-06 07:51:09 Finance Money Economy Financial markets United States securities law Self-regulatory organizations Investment Broker-dealer Fixed income market Securities Investor Protection Corporation Financial Industry Regulatory Authority Order
25	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: 2016-08-03 14:20:30 United States securities law Economy Finance Law U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Uniform Securities Act Registered representative North American Securities Administrators Association Joseph Borg Securities Act Filing
26	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:33 Law Arbitration Financial Industry Regulatory Authority United States securities law Arbitral tribunal Securities Exchange Act Securities regulation in the United States Forum U.S. Securities and Exchange Commission United States Arbitration Association Consumer arbitration
27	March 7, 2016 VIA E-MAIL & FEDERAL EXPRESS Richard G. Ketchum Chairman and Chief Executive Officer of FINRA 1735 K Street, NW Washington, DC 20006 Add to Reading List Source URL: www.laxneville.com Language: English - Date: 2016-08-17 11:46:38 Self-regulatory organizations Financial Industry Regulatory Authority United States securities law Arbitration Federal Arbitration Act Securities regulation in the United States Broker-dealer Selling away
28	Family Law Software Report Add to Reading List Source URL: www.flournoywealthmanagement.com Language: English - Date: 2016-05-20 13:47:46 Self-regulatory organizations United States securities law Financial Industry Regulatory Authority LPL Financial Securities Investor Protection Corporation Registered Investment Adviser Financial adviser
29	OMB APPROVAL OMB Number: Expires: August 31, 2011 Estimated average burden Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:22 Self-regulatory organizations United States securities law Financial Industry Regulatory Authority Securities regulation in the United States Securities Exchange Act U.S. Securities and Exchange Commission
30	Federal Register / Vol. 77, NoMonday, December 17, Notices volume-based tiers for Professional Customers and Broker-Dealers that Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:32 Financial Industry Regulatory Authority United States securities law Subpoena Arbitral tribunal Arbitration U.S. Securities and Exchange Commission Discovery Subpoena ad testificandum Consumer arbitration