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Financial Markets Authority
Results: 2356

#	Item
931	Faculty Supervisors DAVID N. DORFMAN MARGARET M. FLINT ROBIN FRANKEL ELISSA GERMAINE JILL GROSS Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-24 12:05:50 United States securities law Securities Financial Industry Regulatory Authority Financial markets Securities Industry and Financial Markets Association Arbitration Financial economics Investment Financial system
932	November 6, 2014 Via E-Mail to [removed] Brent J. Fields Secretary, Securities and Exchange Commission 100 F Street, NE Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 09:02:24 Financial Industry Regulatory Authority Investment Securities Arbitral tribunal Arbitration U.S. Securities and Exchange Commission Securities regulation in the United States Securities Industry and Financial Markets Association Securities Exchange Act United States securities law Financial economics Financial system
933	October 22, 2014 Via Electronic Mail to [removed] Brent J. Fields Secretary, Securities and Exchange Commission 100 F Street, NE Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-22 09:28:09 Investment Financial Industry Regulatory Authority Securities Industry and Financial Markets Association Registered representative U.S. Securities and Exchange Commission Securities Exchange Act Financial adviser Securities regulation in the United States United States securities law Financial economics Finance
934	Flnra Financia l Industry Regulatory Authority November 24, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-24 12:09:54 Investment Self-regulatory organizations Financial Industry Regulatory Authority Securities United States Securities and Exchange Commission U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Securities Industry and Financial Markets Association United States securities law Financial economics Financial system
935	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]November 10, 2014 Self-Regulatory Organizations; BATS Exchange Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment N Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-12 12:54:32 Investment Finance United States Securities and Exchange Commission Order Securities Exchange Act Market maker Flash trading Options Price Reporting Authority Financial markets Financial economics Stock market
936	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]October 28, 2014 Joint Industry Plan; Order Approving Amendment No. 32 to the Joint Self-Regulatory Organization Plan Governing the Collection, Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-29 08:19:21 Financial markets NASDAQ Securities Exchange Act Chicago Stock Exchange Direct Edge Financial Industry Regulatory Authority International Securities Exchange NYSE Arca Stock market Self-regulatory organizations Economy of the United States United States securities law
937	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OPRA[removed]December 1, 2014 Options Price Reporting Authority; Order Approving an Amendment to the Plan for Reporting of Consolidated Options Last Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-02 11:25:55 Financial system National market system plan Options Price Reporting Authority Securities Exchange Act Consolidated Tape Association NASDAQ U.S. Securities and Exchange Commission Securities regulation in the United States International Securities Exchange Financial markets Financial economics Investment
938	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]September 12, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-12 12:55:01 Financial system Securities and Exchange Commission Subpoena duces tecum Securities Exchange Act Securities Act Securities Industry and Financial Markets Association Financial Industry Regulatory Authority Sarbanes–Oxley Act Delaney United States securities law Financial economics Finance
939	Federal Register / Vol. 79, No[removed]Wednesday, November 5, [removed]Notices For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.21 Brent J. Fields, Secretary. Add to Reading List Source URL: www.c2exchange.com Language: English - Date: 2014-11-05 08:40:14 Financial markets Funds Stock market Mathematical finance Exchange-traded fund Algorithmic trading NASDAQ Securities Exchange Act Futures contract Financial economics Investment Finance
940	SR-MIAX[removed]Page 24 of 33 Exhibit 5 New text is underlined; Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-17 09:10:25 Financial Industry Regulatory Authority Fee Financial economics Financial system Payment systems Financial markets Business Market maker

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