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Financial Services and Markets Authority
Results: 490

#	Item
291	A NATIONAL CHARTER FOR SAFE, FAIR MARKETS Our ViSiOn Markets are a valuable part of our local communities and make a vital contribution to the consumer shopping experience. Local authority trading standards services, mar Add to Reading List Source URL: www.industrytrust.co.uk Language: English - Date: 2013-08-08 09:58:34 Knowledge Fair trade Trading Standards Institute Trading standards Financial market Market
292	Testimony before the Subcommittee on Financial Services and General Government Committee on Appropriations United States Senate by Chair Mary Jo White U.S. Securities and Exchange Commission Add to Reading List Source URL: www.appropriations.senate.gov Language: English - Date: 2014-05-14 13:02:03 Investment Financial markets United States securities law Late-2000s financial crisis U.S. Securities and Exchange Commission Hedge fund Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser Financial Industry Regulatory Authority Financial economics Finance Business
293	33074-rgl_12-1 Sheet No. 16 Side A[removed]:17:47 \\jciprod01\productn\R\RGL\12-1\RGL102.txt Add to Reading List Source URL: rjglb.richmond.edu Language: English - Date: 2013-04-05 08:38:18 Government Economics Securities Commission Financial system Financial Services Board Netherlands Authority for the Financial Markets Credit rating agency U.S. Securities and Exchange Commission Capital market Financial regulation International finance institutions International Organization of Securities Commissions
294	Comment Letter on File No[removed] Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2006-04-17 14:55:39 United States securities law Financial markets Financial system Corporate crime U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Securities Exchange Act Financial Industry Regulatory Authority Financial economics Financial services Finance
295	FINANCIAL INFORMATION FORUM 5 Hanover Square New York, New York 10004 ⎯⎯⎯⎯⎯ 212‐422‐8568 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-27 10:06:00 Finance Financial system Self-regulatory organizations Direct market access Prime brokerage Broker-dealer Short U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial markets Financial economics Financial services
296	Mr. David S. Shillman Associate Director Division of Trading and Markets Securities and Exchange Commission 100 F Street, NE Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-30 15:10:47 Financial markets Stock market Financial services Fixed income market United States securities law Broker-dealer Prime brokerage Securities Industry and Financial Markets Association Financial Industry Regulatory Authority Financial economics Investment Financial system
297	SRO Release NASD and NYSE: Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-03-16 08:36:54 Financial economics Financial regulation Financial markets Financial services Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Money laundering United States securities law Financial system Finance
298	Investment Management Association on S7-09-05 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-29 15:08:00 Financial services Financial markets Funds Collective investment scheme Investment banking Investment Management Association U.S. Securities and Exchange Commission Investment management Financial Services Authority Financial economics Investment Finance
299	BEST PRACTICE Government Relationships with Securities Dealers (1986, 1988, 2003, 2006, and[removed]Background. Finance officers, treasurers and investment officers (hereafter referred to as government investors) who manag Add to Reading List Source URL: www.gfoa.org Language: English - Date: 2014-05-07 17:46:33 Stock market Financial services Financial markets United States securities law Self-regulatory organizations Net capital rule Broker-dealer U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial economics Finance Financial system
300	May 26, 2014 British Columbia Securities Commission Alberta Securities Commission Financial and Consumers Affairs Authority of Saskatchewan Manitoba Securities Commission Ontario Securities Commission Add to Reading List Source URL: faircanada.ca Language: English - Date: 2014-05-26 16:17:29 Financial services Collective investment schemes Financial markets Mutual fund Exchange-traded fund Canadian securities regulation Specialized investment fund Hedge fund Mutual fund fees and expenses Financial economics Investment Funds

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