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Self-regulatory organization
Results: 1339

#	Item
261	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-09 09:36:01 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
262	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: 2014-12-02 08:06:05 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
263	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: 2014-12-17 11:36:05 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
264	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-12-12 11:31:05 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
265	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: 2014-12-02 08:02:09 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
266	[removed]Federal Register / Vol. 79, No[removed]Monday, November 24, [removed]Notices include: restricting access to authorized personnel who have a ‘‘need to know’’; Add to Reading List Source URL: www.c2exchange.com Language: English - Date: 2014-11-26 10:25:20 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States NYSE Arca United States Self-regulatory organization New York Stock Exchange Government United States securities law United States Securities and Exchange Commission Financial regulation
267	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 Admin. Proc. File No. 3-14810r Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 17:44:51 Financial system Business U.S. Securities and Exchange Commission Self-regulatory organization General Securities Representative Exam Securities Exchange Act Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
268	Martha Redding Chief Counsel NYSE New York Stock Exchange Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-03 16:13:01 United States Securities and Exchange Commission Securities Exchange Act Financial regulation Economy of the United States Finance U.S. Securities and Exchange Commission NYSE Euronext Securities regulation in the United States Self-regulatory organization United States securities law SEC filings 73rd United States Congress
269	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 21, 2014 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-21 10:58:45 Financial regulation Law John Toland U.S. Securities and Exchange Commission Self-regulatory organization Securities Exchange Act Continuance Registered representative Wells notice United States securities law United States Securities and Exchange Commission Financial Industry Regulatory Authority
270	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 21, 2014 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-21 10:58:45 Financial regulation Law John Toland U.S. Securities and Exchange Commission Self-regulatory organization Securities Exchange Act Continuance Registered representative Wells notice United States securities law United States Securities and Exchange Commission Financial Industry Regulatory Authority

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