Self-regulatory organization - PDFSEARCH.IO - Document Search Engine

Self-regulatory organization
Results: 1339

#	Item
991	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASD[removed]December 20, 2006 Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effec Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-12-21 16:27:52 Business Securities Exchange Act Financial Industry Regulatory Authority NASDAQ Self-regulatory organization U.S. Securities and Exchange Commission United States securities law Economy of the United States Financial regulation
992	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-03-18 11:13:11 Financial system Financial Industry Regulatory Authority OTC Bulletin Board Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization NASDAQ Federal Rules of Civil Procedure Selling away United States securities law Economy of the United States Business
993	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-04-12 17:21:01 Financial economics Securities Exchange Act Financial Industry Regulatory Authority Self-regulatory organization NASDAQ U.S. Securities and Exchange Commission Registered representative Securities regulation in the United States Securities Act United States securities law Financial regulation Economy of the United States
994	CSA Multilateral Staff Notice[removed]Third Update on Principal Protected Notes August 30, 2012 This CSA Multilateral Staff Notice is being published by staff of all members of the Canadian Securities Administrators, exce Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-07 19:49:30 United States securities law Securities Notes Principal protected note Self-regulatory organizations Canadian securities regulation Investment Industry Regulatory Organization of Canada Registered representative Deposit insurance Financial regulation Financial system Financial economics
995	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-06 13:18:13 73rd United States Congress United States securities law Financial system Securities Exchange Act International Securities Exchange U.S. Securities and Exchange Commission Chicago Board Options Exchange Self-regulatory organization Stock exchange United States Securities and Exchange Commission Financial economics Economy of the United States
996	II Calendar No. 349 111TH CONGRESS 2D SESSION Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2014-05-19 16:27:33 Finance United States Securities and Exchange Commission 73rd United States Congress Investment New Deal U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Self-regulatory organization Investment Advisers Act Financial economics United States securities law Financial regulation
997	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-10 11:31:43 Financial Industry Regulatory Authority Financial economics Securities Exchange Act Self-regulatory organization NYSE Euronext U.S. Securities and Exchange Commission General Securities Representative Exam Selling away Mary Schapiro United States securities law Business Financial system
998	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Increase in Fees for Certain Qualification Examinations; Rel. No[removed], File No. SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-22 16:05:36 Registered representative Financial Industry Regulatory Authority Financial economics Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission United States securities law Financial regulation Financial system
999	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]September 18, 2013 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-09-19 12:46:24 United States Securities and Exchange Commission Financial regulation Financial system Floor broker Securities and Exchange Commission Self-regulatory organization Financial economics United States securities law 73rd United States Congress Securities Exchange Act
1000	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-05 09:36:39 Business Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission ACT NASDAQ Self-regulatory organization Security United States securities law Economy of the United States Financial economics