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Self-regulatory organization
Results: 1339

#	Item
121	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-02-13 07:36:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Securities Self-regulatory organizations Financial regulation
122	Chapter 13 SRO Notices and Disciplinary Proceedings[removed] Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2015-02-05 22:58:59 Securities Self-regulatory organizations Financial system Canadian securities regulation Investment Industry Regulatory Organization of Canada Canada Securities Commission Finance Financial regulation Banking in Canada Canadian Investor Protection Fund
123	OMB APPROVAL OMB Number: [removed]Expires: June 30, 2010 Estimated average burden Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-03-21 18:36:06 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
124	Canadian Investor Protection Fund - s. 144 of the Act and s. 78 of the CFA Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2015-02-05 22:59:08 Financial economics Securities Financial system Self-regulatory organizations Canadian securities regulation Investment Industry Regulatory Organization of Canada Security Finance Financial regulation Banking in Canada Canadian Investor Protection Fund
125	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-02-13 15:01:04 Investment Industry Regulatory Organization of Canada Financial economics Siska Financial system Business Self-regulatory organizations Securities Financial regulation
126	Memorandum of understanding Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2015-02-05 22:59:14 Business Finance Self-regulatory organization Short Audit committee Securities Commission of New Zealand Financial system Financial regulation Banking in Canada Canadian Investor Protection Fund
127	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-02-05 15:26:04 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
128	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-02-04 14:06:04 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
129	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-02-13 15:36:04 Investment Industry Regulatory Organization of Canada Securities Universal Market Integrity Rules Financial economics Franchising Financial system Business Self-regulatory organizations Financial regulation
130	SRO Notices and Disciplinary Proceedings SCHEDULE “C” (c) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2015-02-05 22:58:45 Securities Commission of New Zealand Canadian Securities Administrators Ontario Securities Commission Self-regulatory organization Linear regulator Canada Government Financial system Financial regulation Canadian law Canadian securities regulation

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