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Financial Markets Authority
Results: 2356

#	Item
441	SROs Launch Study to Analyze Implementation Cost of the Consolidated Audit Trail Industry Feedback Sought to Help Determine Data Collection Costs Deadline for Submission is August 6, 2014 JUNE 23, 2014 – The national s Add to Reading List Source URL: www.miaxoptions.com Language: English - Date: 2014-06-23 16:49:22 Financial economics Business Corporate crime U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Chicago Stock Exchange NASDAQ International Securities Exchange Stock market Self-regulatory organizations Economy of the United States Financial markets
442	Self-Regulatory Organizations Response to SEC for Strengthening Critical Market Infrastructure --Collaborative effort to protect the integrity of US trading markets and enhance investor confidence---Focus on the safeguar Add to Reading List Source URL: www.miaxoptions.com Language: English - Date: 2013-11-12 11:11:51 Finance Financial regulation Securities United States securities law Corporate crime U.S. Securities and Exchange Commission Depository Trust & Clearing Corporation International Securities Exchange Financial Industry Regulatory Authority Self-regulatory organizations Financial system Financial economics
443	CIO Monthly Letter Chief Investment Office WM \| 22 January 2015 On icy roads  Global markets have served up an avalanche of events in 2015, from a plung- Add to Reading List Source URL: www.static-ubs.com Language: English Financial economics Financial services Primary dealers Tax evasion Banking in Switzerland Swiss Financial Market Supervisory Authority UBS rogue trader scandal BTG Pactual Investment UBS Investment banks
444	2008/2: Regulatory Reform (Financial Services and Markets Act 2000) Add to Reading List Source URL: media.fshandbook.info Language: English - Date: 2011-12-19 09:25:43 Listing Rules Financial Services Authority Financial Services and Markets Act Sourcebook United Kingdom Economy of the United Kingdom United Kingdom company law
445	FAO: The Fair and Effective Markets Review BY EMAIL: [removed] 29 January 2015 Dear Sirs FEMR: How fair and effective are the fixed income, foreign exchange and commodities Add to Reading List Source URL: www.bankofengland.co.uk Language: English - Date: 2015-02-23 11:13:05 Law European Union Markets in Financial Instruments Directive Economy of the United Kingdom Financial system Financial Services Authority Regulation Financial Services and Markets Act Financial markets Financial regulation United Kingdom
446	Trade Entry Authority Form Pursuant to the Eris Exchange Clearing Firm Agreement, this form allows a Clearing Firm to specify which entities (i.e., Participants or Customer Firm) are authorized to report and/or submit Pr Add to Reading List Source URL: www.erisfutures.com Language: English - Date: 2014-12-31 14:21:30 Financial system ACT NASDAQ Clearing Finance Securities Financial economics Financial markets
447	Financial Services Authority Treating customers fairly - structured investment products Add to Reading List Source URL: www.fsa.gov.uk Language: English - Date: 2014-06-14 04:13:13 Financial markets Economics Structured product Securities Financial Services Authority Due diligence Credit rating agency Financial services Markets in Financial Instruments Directive Finance Business Law
448	Financial Services Institute 607 14th Street NW, Suite 750 Washington, D.C[removed]1840 \| financialservices.org VIA ELECTRONIC MAIL Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-09 13:29:14 Financial markets United States securities law Investment Financial services U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial adviser Registered Investment Advisor Broker-dealer Financial economics Finance Business
449	Moving Toward the Canadian Securities Regulatory Authority IIAC/SIFMA Canada – U.S. Securities Markets Summit October 5, 2011 – New York Add to Reading List Source URL: www.sifma.org Language: English - Date: 2011-10-21 14:56:45 Financial system Securities Commission Canadian Securities Administrators Self-regulatory organization Law Capital market Regulation U.S. Securities and Exchange Commission Investment Industry Regulatory Organization of Canada Financial regulation Canadian law Canadian securities regulation
450	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]February 5, 2015 Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-06 12:04:04 Finance Self-regulatory organizations Financial markets 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Financial Industry Regulatory Authority Futures contract U.S. Securities and Exchange Commission United States securities law Financial economics Financial system

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