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Securities regulation in the United States
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61	21 ORGANIZATIONS’ LETTER TO THE SECURITIES AND EXCHANGE COMMISSION URGING INCREASED DISCLOSURE OF CORPORATE OFFSHORE SUBSIDIARIES AND THE USE OF TAX HAVENS Mr. Brent J. Fields, Secretary Securities and Exchange Commiss Add to Reading List Source URL: www.americansfortaxfairness.org Language: English - Date: 2016-07-22 11:01:13 International taxation Tax avoidance Offshore finance Taxation International finance Tax haven Offshore financial centre Income tax Regulation S-K Corporate tax Taxation in the United States Tax consolidation
62	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 16:26:10 Financial markets Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Short Securities regulation in the United States Market maker
63	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: www.cboe.com Language: English - Date: 2014-12-02 16:57:16 United States securities law 73rd United States Congress U.S. Securities and Exchange Commission Corporate crime Securities Exchange Act Securities regulation in the United States Financial Industry Regulatory Authority Security Securities Act
64	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-09 13:55:58 73rd United States Congress U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Futures contract New York Stock Exchange National Market System
65	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
66	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
67	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
68	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
69	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:30 Legal terms Arbitration Financial Industry Regulatory Authority United States securities law U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Contract DoddFrank Wall Street Reform and Consumer Protection Act Whistleblower Self-regulatory organization Shearson/American Express Inc. v. McMahon
70	Microsoft WordDisclosure Summary Add to Reading List Source URL: www.tradition.com Language: English - Date: 2016-06-06 11:35:46 Self-regulatory organizations United States securities law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Investor Protection Corporation Security Privacy Securities regulation in the United States

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