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Securities and Futures Commission
Results: 3470

#	Item
31	Edition 8 Markets Regulation Client Newsletter – August 2015 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information prepared Add to Reading List Source URL: cib.rbs.com Language: English Systemic risk Royal Bank of Scotland Group Financial markets Corporate law European Market Infrastructure Regulation Commodity Futures Trading Commission Derivative DoddFrank Wall Street Reform and Consumer Protection Act Over-the-counter RBS Securities Royal Bank of Scotland Securities regulation in the United States
32	MEDIA RELEASE International Organization of Securities Commissions Organisation internationale des commissions de valeurs Organização Internacional das Comissões de Valores Organización Internacional de Comisiones d Add to Reading List Source URL: www.iosco.org Language: English - Date: 2016-05-13 11:06:15 Government Economy Financial regulation International Organization of Securities Commissions Corporate governance Securities commission Netherlands Authority for the Financial Markets Egyptian Financial Supervisory Authority Financial Supervisory Authority Comisin Nacional del Mercado de Valores U.S. Securities and Exchange Commission Securities and Futures Commission
33	Secretary Brent J. Fields Securities and Exchange Commission 100 F Street, N.E. Washington, DCDecember 2015 Re: File No. S7-16-15 Add to Reading List Source URL: www.interactivedata.com Language: English - Date: 2016-04-13 12:13:26 Financial markets Liquidity risk Market liquidity Futures contract Asset-backed security Hedge fund Derivative Asset Net asset value Private equity Systemically important financial institution Short
34	NEW_SWC_Leaflet_1-12_Final Add to Reading List Source URL: www.sw-hk.com Language: English - Date: 2014-09-25 05:54:57 Hong Kong Exchanges and Clearing Securities and Futures Commission Hong Kong Stock Exchange Insider trading Drug Enforcement Administration U.S. Securities and Exchange Commission Economy of Hong Kong Economy of Asia Finance
35	Board of Governors of the Federal Reserve System Commodity Futures Trading Commission Federal Deposit Insurance Corporation Office of the Comptroller of the Currency Securities and Exchange Commission Add to Reading List Source URL: volckerrule.com - Date: 2013-12-10 17:18:33
36	Proposed Rule: Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person’s Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-05-11 17:13:17 Financial system 73rd United States Congress United States Securities and Exchange Commission Commodity Futures Trading Commission Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Securities Exchange Act Derivative Securities Act Financial regulation Financial economics United States securities law
37	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-CBOEMay 11, 2015 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-12 10:41:14 Finance Stock market Floor broker Order Short Futures contract Investment broker MT4 ECN Bridge Financial economics Financial markets Investment
38	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-CFEMay 21, 2015 Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Audit Trail Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-21 14:44:02 Finance Commodity Futures Trading Commission Options Clearing Corporation Futures contract Commodity Exchange Act U.S. Securities and Exchange Commission Financial economics Financial system Confédération Fiscale Européenne
39	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-NASDAQMay 15, 2015 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Lis Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-18 10:47:39 Stock market Exchange-traded fund Funds Commodities market Futures contract Exchange-traded note Stock market index Commodity pool Commodity market Financial economics Investment Finance
40	Please note that the comments expressed herein are solely my personal views Securities and Exchange Commission 100 F Street, N.E. Washington, DCUnited States Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-20 07:35:36 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Economy of the United States United States Commodity Futures Modernization Act Net capital rule United States securities law 73rd United States Congress United States Securities and Exchange Commission

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