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Self-regulatory organization
Results: 1339

#	Item
201	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 9, 2015 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-09 17:23:10 Real property law United States securities law Escrow Personal finance Financial Industry Regulatory Authority Deposit account Transactional account Self-regulatory organization Security Law Finance Business
202	Getting help with your complaint Add to Reading List Source URL: www.obsi.ca Language: English - Date: 2013-05-22 17:11:11 Securities Financial economics Investment Industry Regulatory Organization of Canada Financial regulation Law Ontario Securities Commission Ombudsman Business Dispute resolution Ombudsman for Banking Services and Investments Self-regulatory organizations
203	Institut C.D. HOWE I n sti tute Add to Reading List Source URL: www.cdhowe.org Language: English - Date: 2014-10-14 10:22:29 Securities Business Government Self-regulatory organizations Regulation Statutory authority Regulatory economics Investment Industry Regulatory Organization of Canada Profession Financial regulation Administrative law Law
204	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]December 24, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-29 07:54:02 73rd United States Congress Economy of the United States Financial regulation Securities Exchange Act Business New York Stock Exchange Euronext U.S. Securities and Exchange Commission Self-regulatory organization NYSE Euronext United States securities law United States Securities and Exchange Commission
205	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]December 24, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed R Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-29 07:53:14 New York Stock Exchange Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization United States United States securities law Financial regulation Economy of the United States
206	December 8, 2014 Dear Sirs/Mesdames: Re: Comments on the Consultation Draft of the Provincial Capital Markets Act (PCMA) We are writing in response to your invitation to provide comments on the Consultation Draft of the Add to Reading List Source URL: ccmr-ocrmc.ca Language: English - Date: 2014-12-19 14:06:07 Investment Industry Regulatory Organization of Canada Business Financial regulation Self-regulatory organizations Securities
207	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BYX[removed]December 24, 2014 Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-29 07:48:42 U.S. Securities and Exchange Commission Self-regulatory organization BATS Global Markets Securities and Exchange Commission Government Financial system Chicago Stock Exchange Economy of the United States Direct Edge Securities Exchange Act
208	Caldwell Securities Ltd. Independent Investment Advisors Friday, December 5, 2014 Cooperative Capital Markets Regulatory System “CMR” Comment on Legislation Submitted by email: [removed] Add to Reading List Source URL: ccmr-ocrmc.ca Language: English - Date: 2014-12-19 14:02:07 Self-regulatory organizations Business Financial regulation Investment Industry Regulatory Organization of Canada Canadian securities regulation U.S. Securities and Exchange Commission Financial economics Securities Finance
209	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]December 24, 2014 Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule C Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-29 07:47:55 BATS Global Markets U.S. Securities and Exchange Commission Self-regulatory organization Securities and Exchange Commission Government Financial regulation Chicago Stock Exchange Economy of the United States Direct Edge Securities Exchange Act
210	DETAILED REPLY TO JEFFREY MACINTOSH by Philip Anisman December 17, 2014 This is a brief reply to Professor MacIntosh’s detailed rejoinder on the Financial Post Add to Reading List Source URL: ccmr-ocrmc.ca Language: English - Date: 2014-12-19 14:06:54 Public administration Canadian law Canadian securities regulation Rulemaking Self-regulatory organization Regulation Economics Insider trading Administrative law Law Financial regulation

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