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

Self-regulatory organization
Results: 1339

#	Item
231	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-04 11:21:04 Securities Financial regulation Investment Industry Regulatory Organization of Canada Financial economics Personal finance Financial Literacy Month Financial literacy Investor education Economics Finance Self-regulatory organizations
232	Microsoft Word - NI_33-109 CLEAN July 13, 2009.doc Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-05-07 16:35:57 British Columbia Securities Commission Ontario Securities Commission Government Provinces and territories of Canada Securities Commission Financial regulation 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act United States securities law Autorité des marchés financiers Self-regulatory organization
233	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-21 10:31:04 Securities Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
234	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: 2014-11-18 15:56:05 Investment Industry Regulatory Organization of Canada Business Self-regulatory organizations Securities Financial regulation
235	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-17 15:41:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Securities Self-regulatory organizations Financial regulation
236	Form 33-109F2 - Change or Surrender of Individual Categories Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 21:39:29 Securities Financial economics Autorité des marchés financiers Ontario Securities Commission United States securities law British Columbia Securities Commission Self-regulatory organization Securities Commission Regulation D Financial regulation United States Securities and Exchange Commission Financial system
237	Microsoft Word - NI_33-109 CLEAN July 13, 2009.doc Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-05-07 16:35:57 Autorité des marchés financiers British Columbia Securities Commission Ontario Securities Commission Provinces and territories of Canada Securities Commission of New Zealand Government Regulation S-K United States securities law Financial regulation Self-regulatory organization
238	Sudhlr Bhattacharyya Vice President New York Stock Excilange 11 Wail Street New York, NY[removed]T +1 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-31 14:11:57 73rd United States Congress United States Securities and Exchange Commission Financial regulation Securities Exchange Act NYSE Arca Business New York Stock Exchange United States Self-regulatory organization NYSE Euronext United States securities law Economy of the United States
239	Microsoft Word - NI_33-109 CLEAN July 13, 2009.doc Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-05-07 16:35:57 United States securities law Controlled Drugs and Substances Act Self-regulatory organization Law Canada Regulation S-K Canadian law Canadian securities regulation Securities Commission
240	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 6, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 08:34:28 Business Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Registered representative Securities regulation in the United States General Securities Principal Exam Broker-dealer United States securities law Financial economics Financial system

UPDATE