Self-regulatory organization

Results: 1339



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21Broker-Dealer & Investment Adviser Counseling Gibson Dunn attorneys advise clients on the full spectrum of regulatory, business, and compliance issues confronting the securities industry. Our clients include global inve

Broker-Dealer & Investment Adviser Counseling Gibson Dunn attorneys advise clients on the full spectrum of regulatory, business, and compliance issues confronting the securities industry. Our clients include global inve

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Source URL: www.gibsondunn.com

Language: English - Date: 2014-04-21 11:25:21
22Statement on Regulatory and Self-Regulatory Consultation Practices October 2004 2

Statement on Regulatory and Self-Regulatory Consultation Practices October 2004 2

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Source URL: www.icsa.bz

Language: English - Date: 2012-10-22 07:52:09
23SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoJanuary 9, 2015 Admin. Proc. File No

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoJanuary 9, 2015 Admin. Proc. File No

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Source URL: edgar.sec.gov

Language: English - Date: 2015-01-09 17:23:10
24SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 13, 2015 Admin. Proc. File NoIn the Matter of the Application of

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 13, 2015 Admin. Proc. File NoIn the Matter of the Application of

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Source URL: edgar.sec.gov

Language: English - Date: 2015-02-13 12:02:52
25SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-BYXJanuary 22, 2015 Self-Regulatory Organization; BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c)

SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-BYXJanuary 22, 2015 Self-Regulatory Organization; BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c)

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Source URL: edgar.sec.gov

Language: English - Date: 2015-01-22 16:04:02
26SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 5, 2015 Admin. Proc. File No

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 5, 2015 Admin. Proc. File No

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Source URL: edgar.sec.gov

Language: English - Date: 2015-02-05 16:58:16
27ICSA EMC Quarterly Brief EMC Chairman Message Dear ICSA members, I am pleased to introduce to you the first edition of our Emerging Market Committee newsletter. This newsletter, which will be published on a quarterly bas

ICSA EMC Quarterly Brief EMC Chairman Message Dear ICSA members, I am pleased to introduce to you the first edition of our Emerging Market Committee newsletter. This newsletter, which will be published on a quarterly bas

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Source URL: www.icsa.bz

Language: English - Date: 2014-09-02 04:32:38
28Best Practices for Self-Regulatory Organizations ICSA members consider self-regulation of financial markets to be a valuable element of regulatory systems around the world, as it provides a mechanism whereby the experti

Best Practices for Self-Regulatory Organizations ICSA members consider self-regulation of financial markets to be a valuable element of regulatory systems around the world, as it provides a mechanism whereby the experti

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Source URL: www.icsa.bz

Language: English - Date: 2012-10-22 07:52:09
29Microsoft Word - Self-Regulation in Securities Markets Janfinal.docx

Microsoft Word - Self-Regulation in Securities Markets Janfinal.docx

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Source URL: www.jsda.or.jp

Language: English - Date: 2013-03-05 10:46:41
30The text below has been prepared to reflect the text passed by the National Assembly on 25 March 2005, with subsequent amendments, and is for information purpose only. The authoritative version is the one published in th

The text below has been prepared to reflect the text passed by the National Assembly on 25 March 2005, with subsequent amendments, and is for information purpose only. The authoritative version is the one published in th

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Source URL: www.tri-pro.mu

Language: English - Date: 2008-11-06 08:23:44