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Securities regulation in the United States
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#	Item
561	OMB APPROVAL OMB Number: [removed]Expires: June 30, 2007 Estimated average burden Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:59:13 Financial system Investment 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Financial Industry Regulatory Authority Securities regulation in the United States Self-regulatory organization Security United States securities law Stock market Financial economics
562	OMB APPROVAL OMB Number: [removed]Expires: June 30, 2007 Estimated average burden Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-03-21 17:55:15 Financial system Investment 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Financial Industry Regulatory Authority Securities regulation in the United States Self-regulatory organization Security United States securities law Stock market Financial economics
563	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:40:07 Securities Act United States Securities and Exchange Commission Financial regulation Economy of the United States United States United States securities law 73rd United States Congress New Deal
564	OMB APPROVAL OMB Number: [removed]Expires: August 31, 2011 Estimated average burden Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:55:17 Financial regulation Financial Industry Regulatory Authority Securities Exchange Act Financial system Securities regulation in the United States Business U.S. Securities and Exchange Commission Selling away United States securities law Self-regulatory organizations United States Securities and Exchange Commission
565	SR-FINRA[removed]Extension No. 1 Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:54:46 Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Securities regulation in the United States Self-regulatory organization Financial system Government United States securities law 73rd United States Congress United States Securities and Exchange Commission
566	SR-FINRA[removed]Federal Register Notice Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:53:11 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Self-regulatory organization Security Selling away Securities regulation in the United States United States securities law Financial economics Financial system
567	Disciplinary and Other FINRA Actions Reported for September 2008 Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 12:52:11 Finance Financial Industry Regulatory Authority World Group Securities Trade Reporting And Compliance Engine Securities research U.S. Securities and Exchange Commission Securities regulation in the United States Registered representative ACT United States securities law Financial economics Business
568	MM_DIS_201411215_englisch_final Add to Reading List Source URL: www.ugitech.com Language: English - Date: 2014-12-15 13:06:27 Securities United States Securities and Exchange Commission Investment New Deal Securities Act Prospectus Securities regulation in the United States Financial system United States securities law Financial economics Stock market
569	Disciplinary and Other FINRA Actions Reported for September 2008 Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:50:55 Finance Financial Industry Regulatory Authority World Group Securities Trade Reporting And Compliance Engine Securities research U.S. Securities and Exchange Commission Securities regulation in the United States Registered representative ACT United States securities law Financial economics Business
570	November 28, 2012 FINRA and JSDA Sign Cooperation Agreement The US Financial Industry Regulatory Authority (FINRA)i and Japan Securities Dealers Association ii (JSDA) have entered into a Memorandum of Understanding (MOU Add to Reading List Source URL: www.jsda.or.jp Language: English - Date: 2013-03-05 10:45:58 Securities Exchange Act Economy of the United States Securities regulation in the United States Financial regulation ACT Financial system United States securities law Self-regulatory organizations Financial Industry Regulatory Authority

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