Financial Industry Regulatory Authority - PDFSEARCH.IO - Document Search Engine

Financial Industry Regulatory Authority
Results: 3404

#	Item
1	Kontrolle von Investmentfonds  Warum konnte Madoff mindestens 13 Jahre ein Ponzi Schema betreiben?  Financial Industry Regulatory Authority führte seitergebnislose Untersuchungen gegen Madoff’s Unterneh Add to Reading List Source URL: www.mpicc.de Language: German - Date: 2016-12-02 05:17:11
2	Distributed Ledger Technology: Implications of Blockchain for the Securities Industry1 JANUARYA REPORT FROM THE FINANCIAL INDUSTRY REGULATORY AUTHORITY Add to Reading List Source URL: blockchainlab.com Language: English - Date: 2017-04-20 01:26:26 Economy Cryptocurrencies Money Blockchains Finance Alternative currencies Financial markets Distributed computing Distributed ledger DLT Digital currency Bitcoin
3	Distributed Ledger Technology: Implications of Blockchain for the Securities Industry1 JANUARYA REPORT FROM THE FINANCIAL INDUSTRY REGULATORY AUTHORITY Add to Reading List Source URL: www.finra.org Language: English - Date: 2017-01-18 13:31:10
4	How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract Add to Reading List Source URL: slcg.com Language: English - Date: 2016-06-02 16:19:24 Economy Finance Money Investment Financial services United States securities law Self-regulatory organizations Brokerage firm Financial Industry Regulatory Authority Stockbroker Yield spread premium
5	SR-FINRANotice of Filing and Immediate Effectiveness Add to Reading List Source URL: www.batsoptions.com Language: English - Date: 2011-04-30 09:58:53 United States securities law Self-regulatory organizations U.S. Securities and Exchange Commission Economy Financial Industry Regulatory Authority Law Securities Exchange Act Government Securities regulation in the United States
6	Microsoft Word - PE_TMP_0001ovr00004ns.docx Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:22 Law Financial Industry Regulatory Authority United States securities law Arbitral tribunal Arbitration Forum U.S. Securities and Exchange Commission Arbitration in the United States Beijing Arbitration Commission
7	JMB_Insurance_(4C)LogoReverse Add to Reading List Source URL: www.jmbins.com Language: English - Date: 2016-05-23 17:42:06 Economy Finance Money Self-regulatory organizations United States securities law Investment Insurance Securities Investor Protection Corporation Financial Industry Regulatory Authority Risk
8	Regulatory Considerations for SEC Registered Municipal Advisors By Matthew C. Boba A Add to Reading List Source URL: www.chapman.com Language: English - Date: 2016-07-28 12:30:08 Economy Finance Money Self-regulatory organizations Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Registered Investment Adviser Municipal bond Financial adviser DoddFrank Wall Street Reform and Consumer Protection Act Electronic Municipal Market Access Financial Industry Regulatory Authority
9	PDF Document Add to Reading List Source URL: federalombuds.ed.gov Language: English - Date: 2015-03-02 20:22:14 Economy Finance Money United States securities law Self-regulatory organizations Financial Industry Regulatory Authority Ombudsman Securities regulation in the United States ACT Brokerage firm Broker-dealer
10	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 Law Economy Financial Industry Regulatory Authority United States securities law Class action Securities regulation in the United States U.S. Securities and Exchange Commission Fair Labor Standards Act Arbitration Securities Exchange Act Contract