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Securities and Exchange Surveillance Commission
Results: 44

#	Item
31	Provisional Translation Basic Guidelines on Investigation of Market Misconduct I. Basic Concepts 1. Purpose of Investigation of Market Misconduct Investigation of Market Misconduct comprises questioning, on-site inspecti Add to Reading List Source URL: www.fsa.go.jp Language: English - Date: 2014-07-17 04:10:11 English grammar Shall and will Securities and Exchange Surveillance Commission
32	Tentative translation Only Japanese text is authentic Securities Inspection Guidelines August 2013 Add to Reading List Source URL: www.fsa.go.jp Language: English - Date: 2014-12-23 20:29:59 Securities and Exchange Surveillance Commission MOT test Inspection Car safety Economy of Japan Government of Japan
33	Tentative translation Only Japanese text is authentic 〇 Frequently Asked Questions on Securities Inspections The Securities Exchange Surveillance Commission (SESC) has collected and summarized questions submitted by fi Add to Reading List Source URL: www.fsa.go.jp Language: English - Date: 2014-12-23 20:29:58 Risk-based inspection Inspection Quality Management Risk
34	(Provisional Translation) April 16, 2013 Securities and Exchange Surveillance Commission The Securities Inspection Policy and the Program for 2013 I. Securities Inspection Policy Add to Reading List Source URL: www.fsa.go.jp Language: English - Date: 2013-06-25 00:47:14 Financial services Investment Economy of Japan Government of Japan Securities and Exchange Surveillance Commission Securities Securities Exchange Act Investment management Depository Trust & Clearing Corporation Financial economics Finance Financial system
35	Intermarket Surveillance Group _______________________________________ March 8, 2005 Jonathan G. Katz Secretary Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-10 13:08:24 Financial markets Corporate crime U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Capital market Securities and Exchange Commission Economy of the United States Chicago Stock Exchange Financial system Self-regulatory organizations Financial regulation United States securities law
36	NATIONAL MARKET SYSTEM PLAN OF THE OPTIONS REGULATORY SURVEILLANCE AUTHORITY The self-regulatory organizations named below as the parties to this plan, and any other self-regulatory organizations that may subsequently be Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-04-17 14:42:22 Securities Exchange Act United States Securities and Exchange Commission Orsa Costs U.S. Securities and Exchange Commission Government Own Risk and Solvency Assessment Law United States securities law 73rd United States Congress
37	SRO FICC: Notice of Filing of Proposed Rule Change to Provide Interpretive Guidance to Members Regarding the Criteria Used to Place Members on Surveillance Status Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-11-18 12:59:56 First Issues Collectors Club Financial markets United States securities law U.S. Securities and Exchange Commission UBS Broker-dealer Securities Exchange Act Federal Reserve System Financial economics Investment Finance
38	ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION November[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-01-21 11:53:10 Human anatomy Identification U.S. Securities and Exchange Commission Public key fingerprint Respondent Security Law Surveillance Biometrics Fingerprints Fingers
39	Agreement for the Allocation of Regulatory Responsibility of Surveillance, Investigation and Enforcement for Insider Trading pursuant to §17(d) of the Securities Exchange Act of 1934, 15 U.S.C. §78q (d), and Rule 17d-2 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-20 15:44:17 New York City Financial system Economy of New York City Financial Industry Regulatory Authority Securities Exchange Act Consolidated Tape Association Chicago Stock Exchange U.S. Securities and Exchange Commission Securities regulation in the United States Self-regulatory organizations Economy of the United States United States securities law
40	January 21, 2014 Securities and Exchange Surveillance Commission Toward Enhanced Market Integrity ‐SESC’s Policy Statement for the 8th Term‐ Add to Reading List Source URL: www.fsa.go.jp Language: English* - Date: 2014-01-31 04:46:47 Securities and Exchange Surveillance Commission Securities Exchange Act Capital market Financial economics Financial system Finance International Organization of Securities Commissions Financial markets Economy of Japan Government of Japan

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