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441	January 5, 2016 Introduction FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts Add to Reading List Source URL: www.finra.org Language: English - Date: 2016-01-04 17:32:29 United States securities law Self-regulatory organizations Financial Industry Regulatory Authority Broker-dealer Structured product U.S. Securities and Exchange Commission Investment banking Financial analyst Registered representative Brokerage firm ACT Securities regulation in the United States
442	PETER H. SCHWARTZ Partnerfax EXPERTISE Asset Management, Business Formation, Corporate Governance, Mergers & Acquisitions, Private Equity & Venture Capital, and Public Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2016-04-27 18:35:44 76th United States Congress Investment Company Act Stock market DoddFrank Wall Street Reform and Consumer Protection Act Financial Industry Regulatory Authority Insider trading Public Company Accounting Oversight Board U.S. Securities and Exchange Commission Investor Protection and Securities Reform Act
443	AFPAC Newsletter Asian Financial Partnership Center, Financial Services Agency April 2015 Vol. 2 Add to Reading List Source URL: www.fsa.go.jp Language: English - Date: 2015-04-28 04:00:17 Cabinet Office Securities and Exchange Surveillance Commission Financial Services Agency Securities commission Financial literacy Financial regulation Asian Development Bank Institute Asian Development Bank
444	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-22 12:32:55 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act United States securities law Securities regulation in the United States Regulation S-K Securities Act
445	SECURITIES AND EXCHANGE COMMISSION SEC FORM – ACGR ANNUAL CORPORATE GOVERNANCE REPORT 1. Report is Filed for the Year Add to Reading List Source URL: www.ayala.com.ph Language: English - Date: 2014-12-01 21:02:06 Corporate governance Management Corporate law Committees Jaime Augusto Zobel de Ayala Fernando Zobel de Ayala Ayala Corporation Board of directors Director Chairman Audit committee Non-executive director
446	Chapter 24:18 ZIMBABWE STOCK EXCHANGE ACT Acts, , , ; R.G.Ns; , S.Is, ARRANGEMENT OF SECTIONS PART I Add to Reading List Source URL: www.rbz.co.zw Language: English - Date: 2016-08-19 05:08:06 Stock market Securities Exchange Act Security Stockbroker Stock U.S. Securities and Exchange Commission
447	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-05-02 16:10:56 Financial markets Stock market 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission International Securities Exchange Futures contract Broker-dealer Short Securities regulation in the United States Security
448	Closing A user friendly tool to secure the closing. Add to Reading List Source URL: beluxfr.addactis.com Language: English - Date: 2016-05-18 11:59:29 Generally Accepted Accounting Principles U.S. Securities and Exchange Commission International Financial Reporting Standards Accounting Actuarial science
449	FORMCheck this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). Add to Reading List Source URL: compliance-sec.com Language: English - Date: 2016-06-21 01:07:57 Corporate finance Stock market Equity securities SEC filings Form 4 U.S. Securities and Exchange Commission Security Stock Warrant Securities Exchange Act Derivative
450	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-07 16:20:17 Stock market Extended-hours trading Funds Investment Securities Exchange Act New York Stock Exchange Chicago Stock Exchange U.S. Securities and Exchange Commission Direct Edge Securities regulation in the United States Order NASDAQ

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