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General Exchange Act
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121	RULES OF PRACTICE TABLE OF CONTENTS [Note: See amended version at http://www.sec.gov/about/rulesofpractice.shtml] GENERAL RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-01-06 10:44:47 Motion Rulemaking Service of process Securities Exchange Act Subpoena ad testificandum Law Civil procedure Federal Rules of Civil Procedure
122	Scott C. Goebel Senior Vice President General Counsel FMR Co. 82 Devonshire Street V10E, Boston, MA[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-09 13:28:24 Financial regulation United States Securities and Exchange Commission Financial markets Financial system 73rd United States Congress Securities Exchange Act Alternative Trading Systems U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board United States securities law Self-regulatory organizations Financial economics
123	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 13, 2015 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-13 12:02:52 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer Trade Reporting And Compliance Engine Self-regulatory organization Security Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
124	SR-EDGA[removed]Exhibit 5 Page 26 of 37 EXHIBIT 5 Proposed new language is underlined; proposed deletions are in [brackets]. CHAPTER I. ADOPTION, INTERPRETATION AND APPLICATION OF RULES, AND Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:53:11 Finance Securities Exchange Act Securities Act General Securities Representative Exam Registered representative Financial Industry Regulatory Authority Regulation S-K Registered Investment Advisor United States securities law Financial regulation Financial economics
125	SR-EDGX[removed]Exhibit 5 Page 26 of 37 EXHIBIT 5 Proposed new language is underlined; proposed deletions are in [brackets]. CHAPTER I. ADOPTION, INTERPRETATION AND APPLICATION OF RULES, AND Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:55:17 Finance Securities Exchange Act Securities Act General Securities Representative Exam Financial Industry Regulatory Authority Registered representative Regulation S-K Registered Investment Advisor United States securities law Financial regulation Financial economics
126	NVSE EURONEXT Janet McGinnen EVP & Corporate Secretary General Counsel, NYSE Markets Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-12-27 14:12:11 Financial economics Stock market Finance Investment Securities Exchange Act New York Stock Exchange Futures contract Security SEC filing United States securities law United States Securities and Exchange Commission 73rd United States Congress
127	Tortoise Capital Advisors, L.L.C. Code of Ethics Statement of General Policy Tortoise Capital Advisors, L.L.C. (the “Adviser,” “we,” or “us”) seeks to foster a reputation for integrity and professionalism. Th Add to Reading List Source URL: www.tortoiseadvisors.com Language: English - Date: 2014-01-10 13:14:28 Business 73rd United States Congress United States Securities and Exchange Commission Stock market United States corporate law Investment Advisers Act Financial adviser Securities Exchange Act Securities Act United States securities law Finance Financial economics
128	[removed]Federal Register / Vol. 75, No[removed]Tuesday, July 13, [removed]Notices 6(b) 12 of the Securities Exchange Act of[removed]the ‘‘Act’’), in general, and furthers Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2013-05-23 12:02:55 Taxation in the United States United States 111th United States Congress Presidency of Barack Obama Railroad Retirement Board Government Privacy Act Government procurement in the United States Social Security United States administrative law Politics of the United States Privacy law
129	120 STAT[removed]PUBLIC LAW 109–474—JAN. 12, 2007 Public Law 109–474 109th Congress Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2013-06-04 16:32:49 Law General Exchange Act History of the United States Aboriginal title in the United States United States
130	Statutory Disqualification Decision SD09005 Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:42:24 Registered representative U.S. Securities and Exchange Commission Securities Exchange Act General Securities Representative Exam United States Financial economics Selling away United States securities law Financial regulation Financial Industry Regulatory Authority

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