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Regulation NMS
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#	Item
221	OMB APPROVAL OMB Number: [removed]Estimated average burden hours per response[removed] Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2014-09-17 17:35:27 Investment 73rd United States Congress United States securities law Finance Securities Exchange Act Regulation NMS Securities regulation in the United States Federal Rules of Civil Procedure Security United States Securities and Exchange Commission Financial economics Stock market
222	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
223	JEFFREY S. DAVIS VICE PRESIDENT & DEPUTY GENERAL COUNSEL 805 KING FARM BLVD ROCKVILLE, MD[removed]P: +[removed]F: +[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-23 15:15:51 United States Securities and Exchange Commission Finance Financial markets 73rd United States Congress United States securities law Regulation NMS Securities Exchange Act NASDAQ Order Financial economics Stock market Investment
224	September 12, 2014 The Honorable Mary Jo White Chair U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 09:06:59 Investment Alternative Trading Systems Regulation NMS Dark liquidity Order Algorithmic trading Market data Market maker Electronic trading Financial markets Financial economics Finance
225	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]September 26, 2014 Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-29 13:54:34 Securities Exchange Act BATS Global Markets Regulation NMS Federal Rules of Civil Procedure Stock market Economy of the United States United States Humanities United States Securities and Exchange Commission Beta Upsilon Chi University of Texas at Austin
226	SR-CHX[removed]Page 164 of 184 Exhibit 5 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-22 08:09:24 Finance Chicago Stock Exchange Financial markets Order Regulation NMS Short Futures contract Uptick rule Stock market Financial economics Investment
227	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]October 15, 2014 Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change to Rules 11.9 an Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-16 08:13:17 Investment Stock market United States Securities and Exchange Commission Mathematical finance Regulation NMS Short selling Order Securities Exchange Act Algorithmic trading Financial markets Financial economics Finance
228	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]August 26, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rul Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-27 08:57:40 Economy of the United States Financial regulation 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission United States New York Stock Exchange Financial Industry Regulatory Authority Regulation NMS United States securities law United States Securities and Exchange Commission Self-regulatory organizations
229	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File Nos. SR-NYSE[removed]and SR-NYSEMKT[removed]October 9, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT, Inc.; Order Approving Prop Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-10 08:08:13 Financial markets Finance United States Securities and Exchange Commission Regulation NMS New York Stock Exchange Order High-frequency trading Futures contract Intermarket sweep order Stock market Financial economics Investment
230	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-ISEGemini[removed]September 19, 2014 Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Maker Ris Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-22 07:46:16 Finance Financial system United States securities law International Securities Exchange Securities Exchange Act Regulation NMS Market maker Algorithmic trading Futures contract Financial markets United States Securities and Exchange Commission Financial economics

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