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Rule of 11
Results: 913

#	Item
621	Notice of Filing and Immediate Effectiveness of Rule D-13, on a Definition of “Municipal Advisory Activities”, Rule D-14, on a Definition of “Appropriate Regulatory Agency”, and Amendments to Rule D-11 (“Associ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-12 15:33:58 United States securities law U.S. Securities and Exchange Commission United States Securities and Exchange Commission Law Government Securities Exchange Act Rulemaking Tower Amendment Investor Protection and Securities Reform Act Self-regulatory organizations Municipal Securities Rulemaking Board Financial regulation
622	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BX[removed]September 11, 2009 Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change to Amend IM[removed]To Ref Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-16 16:27:03 Financial regulation Securities Exchange Act Financial Industry Regulatory Authority Self-regulatory organization U.S. Securities and Exchange Commission Securities research Securities regulation in the United States United States securities law Financial system Financial economics
623	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEARCA[removed]December 11, 2012 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-12 10:57:49 Financial markets Business Self-regulatory organizations United States Securities and Exchange Commission Economy of the United States New York Stock Exchange NYSE Arca Securities Exchange Act Floor broker Stock market Financial economics Investment
624	Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Amend BYX Rule 11.8, Entitled "Obligations of Market Makers" Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-19 12:06:17 Financial system Financial markets Finance 73rd United States Congress Self-regulatory organizations Securities Exchange Act Market maker U.S. Securities and Exchange Commission NASDAQ United States securities law Financial economics United States Securities and Exchange Commission
625	Form 8-1 (Rule 156) Application for a Permit (Under Section[removed]of the Act) Add to Reading List Source URL: 66.11.159.211 Language: English - Date: 2012-01-09 16:17:11 Private law Business Legal entities Business law Corporation S corporation Law Society of Alberta Alberta Incorporation Corporations law Types of business entity Law
626	Notice of Filing of Proposed Rule Change to Amend BYX Rule 11.17, entitled "Clearly Erroneous Executions" Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-12 13:37:41 Financial regulation Business Financial system United States Securities and Exchange Commission 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Direct Edge New York Stock Exchange United States securities law Economy of the United States Self-regulatory organizations
627	EDGA[removed]Page 13 of 13 Exhibit 5 Text of the proposed rule change (Additions are underlined; deletions are in [brackets].) Rule 11.14. Add to Reading List Source URL: www.sec.gov - Date: 2010-07-20 11:43:03
628	SR-EDGX[removed]Page 15 of 15 Exhibit 5 Text of the proposed rule change (Additions are underlined; deletions are in [brackets].) Rule 11.14. Add to Reading List Source URL: www.sec.gov - Date: 2010-12-13 10:00:24
629	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]July 11, 2003 Self-Regulatory Organizations; Order Granting Approval of a Proposed Rule Change by the Municipal Securities Rulemaking Bo Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-04-20 16:49:30 United States securities law Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Money laundering Securities Exchange Act Bank Secrecy Act Patriot Act Self-regulatory organization Terrorism financing Financial regulation Law Business
630	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rule 11.5(c), NBBO Offset Peg Order Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-06-28 07:41:05 Financial markets 73rd United States Congress United States securities law Finance Stock market Securities Exchange Act Order Securities Act NASDAQ Financial economics United States Securities and Exchange Commission Investment

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