Financial Markets Authority - PDFSEARCH.IO - Document Search Engine

Financial Markets Authority
Results: 2356

#	Item
961	September 29, 2014 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC[removed]Re: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-30 13:51:23 Self-regulatory organizations Stock market Financial markets Municipal Securities Rulemaking Board Bonds U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Financial Industry Regulatory Authority Electronic Municipal Market Access Financial economics Finance Financial system
962	Microsoft Word - BZX - RETAIL MEMBER ORGANIZATION APPLICATION.docx Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2014-10-15 09:35:55 Investment Financial services United States securities law Self-regulatory organizations Stock market Broker-dealer Order Financial Industry Regulatory Authority Financial economics Business Financial markets
963	Risk Alert: Broker-Dealer Controls Regarding Customer Sales of Microcap Securities (October 9, 2014) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-09 11:30:03 United States securities law United States Securities and Exchange Commission Self-regulatory organizations 73rd United States Congress Financial markets Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Broker-dealer Finance Financial economics Financial system
964	High-frequency traders: a review of the challenges in registering them as dealers Mark Fitterman and Ignacio Sandoval Mark Fitterman (mfitterman@morganlewis. Add to Reading List Source URL: www.morganlewis.com Language: English - Date: 2014-10-29 12:14:36 Stock market United States securities law Financial markets United States Securities and Exchange Commission Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Regulation NMS Financial economics Finance Business
965	PDF Document Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-03 09:15:17 Financial system Financial markets Finance United States securities law Municipal Securities Rulemaking Board Financial regulation Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Security Financial economics Self-regulatory organizations Business
966	19 of 20 Exhibit 5 Additions underlined Deletions [bracketed] RULES OF THE NYSE ARCA, INC. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-16 08:12:33 Financial economics NYSE Arca Investment New York Stock Exchange Business Day trading Options Price Reporting Authority Consolidated Tape Association Stock market Financial markets Finance
967	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 7, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings to Determi Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-07 20:39:05 Stock market Finance Self-regulatory organizations OTC Bulletin Board Financial markets Financial Industry Regulatory Authority Securities Exchange Act OTC Markets Group Over-the-counter Financial economics United States securities law Investment
968	IDAHO DEPARTMENT OF FINANCE C.L. "BUTCH" OTIBR Governor Add to Reading List Source URL: www.finance.idaho.gov Language: English - Date: 2014-08-27 13:24:50 Financial system Financial services Financial markets 73rd United States Congress United States Securities and Exchange Commission Broker-dealer Financial Industry Regulatory Authority Securities Exchange Act Prime brokerage United States securities law Financial economics Finance
969	SR-BATS[removed]Exhibit 5 Note: Proposed new language is underlined. Proposed deletions are enclosed in brackets. BATS BZX Exchange Fee Schedule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-16 08:12:24 Financial economics Options Price Reporting Authority Economy of the United States Pennsylvania Options Clearing Corporation Self-regulatory organizations Financial markets Philadelphia Stock Exchange
970	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]October 15, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Modifying Its Quote Mitigation Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-16 08:15:36 Finance Options Price Reporting Authority National market system plan Securities Exchange Act Exchange-traded fund U.S. Securities and Exchange Commission Financial markets Financial economics Investment

UPDATE