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Securities Industry and Financial Markets Association
Results: 602

#	Item
61	February 20, 2015 Via Electronic Mail ([removed]) Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F. Street, N.E. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-23 12:50:34 Equity securities Stock market Options Clearing Corporation Securities Industry and Financial Markets Association Dividend Clearing house Stock Financial economics Financial system Finance
62	April 25, 2013 Via Electronic Mail ([removed]) Ms. Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, N.E. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-04-26 11:52:52 United States securities law 73rd United States Congress United States Securities and Exchange Commission Bonds Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Securities Exchange Act Elisse B. Walter Securities Act Financial economics Investment Financial system
63	Microsoft Word - Reg Reform Opening Remarks _2_.doc Add to Reading List Source URL: events.sifma.org Language: English - Date: 2010-07-16 09:56:07 Systemic risk Finance Financial system Administrative law United States Department of the Treasury Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Industry and Financial Markets Association Rulemaking Financial Stability Oversight Council Financial economics Financial markets Late-2000s financial crisis
64	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No[removed]February 26, 2015 Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on the Proposed National Market System Plan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-27 11:03:14 Investment NYSE Euronext Chicago Stock Exchange Committee on Capital Markets Regulation NASDAQ OMX Group CA Technologies Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission American International Group Financial economics Financial markets Economy of the United States
65	f!I OCC James E. Brown Executive Vice President Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-24 16:14:38 Financial markets Securities Options Clearing Corporation Securities Industry and Financial Markets Association Clearing Financial economics Financial system Finance
66	l--j=) _, .1 ALLIANCEBERNSTEIN Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-11-01 14:08:05 Collective investment schemes Financial markets Institutional investors AllianceBernstein Securities Industry and Financial Markets Association Mutual fund Financial adviser Investment management Hedge fund Financial economics Investment Financial services
67	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]February 26, 2015 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Amendmen Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-27 07:52:59 Financial system United States securities law Municipal Securities Rulemaking Board Bonds U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Industry and Financial Markets Association Financial adviser Registered Investment Advisor Financial economics Self-regulatory organizations Finance
68	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]February 3, 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-03 12:01:00 Subpoena duces tecum U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Securities Exchange Act Motion to quash NYSE Arca NASDAQ Securities and Exchange Commission Subpoena Financial economics Investment Financial system
69	July 8, 2013 Via Electronic Mail ([removed]) Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-09 15:03:36 Financial system Financial markets United States Securities and Exchange Commission United States securities law 73rd United States Congress Alternative Trading Systems Securities Industry and Financial Markets Association Securities Exchange Act U.S. Securities and Exchange Commission Financial economics Investment Stock market
70	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]February 20, 2015 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings to Deter Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-23 10:07:23 Finance Financial system Financial Industry Regulatory Authority Securities research Financial analyst Investment banking U.S. Securities and Exchange Commission Securities Exchange Act Securities Industry and Financial Markets Association Financial economics United States securities law Securities

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