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Options broker
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#	Item
31	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]November 12, 2014 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-12 16:57:21 Finance Securities Exchange Act Exchange-traded fund Market maker Options Clearing Corporation Order Broker-dealer International Securities Exchange Chicago Board Options Exchange Financial economics Financial markets Investment
32	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]November 18, 2014 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effective Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-19 08:14:36 Financial markets Broker-dealer Securities Exchange Act Order Exchange-traded fund U.S. Securities and Exchange Commission Futures contract Chicago Stock Exchange Financial economics Investment Finance
33	NASDAQ Stock Market Rules *** Chapter XV Options Pricing NASDAQ Options Market Participants may be subject to the Charges for Membership, Services and Equipment in the Rule 7000 Series as well as the fees in this Chapt Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-04 10:05:14** Financial system Market maker Options Clearing Corporation Broker-dealer Market liquidity Security Financial markets Financial economics Finance
34	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BOX[removed]December 5, 2014 Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-08 09:09:20 Financial markets Finance United States Securities and Exchange Commission United States securities law Financial services Securities Exchange Act Order Broker-dealer Fee Financial economics Stock market Investment
35	SR-MIAX[removed]Page 20 of 22 Exhibit 5 New text is underlined; Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-17 09:11:11 Rebate Sales promotion Finance Broker-dealer Fee Options Clearing Corporation Financial economics Financial markets Financial system
36	Elizabeth King General Counsel NYSE New York Stock Exchange 11 Wall Street New York, NY 10005 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-29 13:14:47 Financial system Options Clearing Corporation Market maker Securities Exchange Act Broker-dealer New York Stock Exchange Futures contract Chicago Board Options Exchange Chicago Stock Exchange Financial economics Financial markets Finance
37	RISC Rice Insurance Services Company, LLC  We put the Experience and Options in E&O programs  Address: 4211 Norbourne Blvd., Louisville, KY 40207  Phone: [removed]  Toll-Free: [removed]  Fax: [removed] Add to Reading List Source URL: www.risceo.com Language: English - Date: 2014-10-27 13:12:40 Financial institutions Institutional investors Economics Insurance Real estate broker Deductible Risk purchasing group Professional liability insurance Types of insurance Financial economics Investment
38	Informational Circular TO: BOX Options Participants FROM: Add to Reading List Source URL: boxexchange.com Language: English - Date: 2014-09-30 16:56:21 Financial system Finance Market maker Fee Broker-dealer Financial markets Financial economics Financial services
39	Informational Circular TO: BOX Options Participants FROM: Add to Reading List Source URL: boxexchange.com Language: English - Date: 2014-09-26 14:08:15 Finance Futures contract Market liquidity Market maker Broker-dealer Fee Financial markets Financial economics Financial system
40	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]October 2, 2014 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-03 08:10:35 Stock market Finance Economy of the United States Self-regulatory organizations Philadelphia Stock Exchange Chicago Board Options Exchange Order Floor broker NASDAQ Financial markets Financial economics Investment

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