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Financial Industry Regulatory Authority
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31	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: www.cboe.com Language: English - Date: 2014-12-02 16:57:16 United States securities law 73rd United States Congress U.S. Securities and Exchange Commission Corporate crime Securities Exchange Act Securities regulation in the United States Financial Industry Regulatory Authority Security Securities Act
32	January 5, 2016 Introduction FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts Add to Reading List Source URL: www.finra.org Language: English - Date: 2016-01-04 17:32:29 United States securities law Self-regulatory organizations Financial Industry Regulatory Authority Broker-dealer Structured product U.S. Securities and Exchange Commission Investment banking Financial analyst Registered representative Brokerage firm ACT Securities regulation in the United States
33	PETER H. SCHWARTZ Partnerfax EXPERTISE Asset Management, Business Formation, Corporate Governance, Mergers & Acquisitions, Private Equity & Venture Capital, and Public Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2016-04-27 18:35:44 76th United States Congress Investment Company Act Stock market DoddFrank Wall Street Reform and Consumer Protection Act Financial Industry Regulatory Authority Insider trading Public Company Accounting Oversight Board U.S. Securities and Exchange Commission Investor Protection and Securities Reform Act
34	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 17:10:30 Legal terms Arbitration Financial Industry Regulatory Authority United States securities law U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Contract DoddFrank Wall Street Reform and Consumer Protection Act Whistleblower Self-regulatory organization Shearson/American Express Inc. v. McMahon
35	Microsoft WordDisclosure Summary Add to Reading List Source URL: www.tradition.com Language: English - Date: 2016-06-06 11:35:46 Self-regulatory organizations United States securities law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Investor Protection Corporation Security Privacy Securities regulation in the United States
36	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-03-30 12:23:48 United States securities law 73rd United States Congress U.S. Securities and Exchange Commission Self-regulatory organizations Stock market Securities Exchange Act Securities regulation in the United States Financial Industry Regulatory Authority Spoofing
37	JMB_Insurance_(4C)LogoReverse Add to Reading List Source URL: www.jmbins.com Language: English - Date: 2016-05-23 17:43:17 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Insurance Financial Industry Regulatory Authority
38	Federal Register / Vol. 78, NoFriday, September 20, Notices 2013–92 and should be submitted on or before October 11, 2013. Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:36 United States securities law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Arbitral tribunal
39	Microsoft Wordprivacy statementRev1-09.doc Add to Reading List Source URL: www.tradition.com Language: English - Date: 2009-02-17 13:32:00 Self-regulatory organizations United States securities law Identity management Law Privacy Internet privacy Medical privacy Securities Investor Protection Corporation Financial Industry Regulatory Authority
40	2016 General Disclosures Daiwa Capital Markets America Inc. Dear Valued Customer, We are taking this opportunity to make certain disclosures to you ("You" or "Client") and remind you of certain important SEC and SRO rule Add to Reading List Source URL: www.us.daiwacm.com Language: English - Date: 2016-02-04 11:04:33 Financial markets Stock market Self-regulatory organizations United States securities law Financial services Broker-dealer Algorithmic trading Securities Investor Protection Corporation Order Day trading Financial Industry Regulatory Authority NASDAQ