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Self-regulatory organization
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21	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 Add to Reading List Source URL: www.gibsondunn.com Language: English - Date: 2014-04-21 11:25:21 United States securities law 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Late-2000s financial crisis Presidency of Barack Obama Registered Investment Advisor Financial Industry Regulatory Authority Financial adviser Self-regulatory organization Financial economics Finance Business
22	Statement on Regulatory and Self-Regulatory Consultation Practices October 2004 2 Add to Reading List Source URL: www.icsa.bz Language: English - Date: 2012-10-22 07:52:09 Financial markets Canadian securities regulation International Organization of Securities Commissions Trade associations ICMA Financial regulation
23	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoJanuary 9, 2015 Admin. Proc. File No Add to Reading List Source URL: edgar.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
24	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 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-02-13 12:02:52 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer Trade Reporting And Compliance Engine Self-regulatory organization Security Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
25	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) Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-01-22 16:04:02 Regulation NMS Beta Upsilon Chi Securities Exchange Act U.S. Securities and Exchange Commission Financial regulation Government United States United States Securities and Exchange Commission United States securities law 73rd United States Congress
26	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 5, 2015 Admin. Proc. File No Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-02-05 16:58:16 Finance Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Security Broker-dealer United States securities law Financial economics Financial system
27	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 Add to Reading List Source URL: www.icsa.bz Language: English - Date: 2014-09-02 04:32:38 Finance Financial economics Korea Financial Investment Association National Stock Exchange of India International Organization of Securities Commissions Stock broker Capital market Stock exchange Financial market Stock market Self-regulatory organizations Business
28	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 Add to Reading List Source URL: www.icsa.bz Language: English - Date: 2012-10-22 07:52:09 Government Self-regulatory organization Public administration International Organization of Securities Commissions Regulation Regulatory agency Securities Securities and Exchange Board of India Act Philippine Dealing Exchange Financial regulation Administrative law Law
29	Microsoft Word - Self-Regulation in Securities Markets Janfinal.docx Add to Reading List Source URL: www.jsda.or.jp Language: English - Date: 2013-03-05 10:46:41 United States securities law Business Self-regulatory organizations Securities International Organization of Securities Commissions Securities Exchange Act Financial Industry Regulatory Authority Investment Industry Regulatory Organization of Canada Financial Services Authority Financial regulation Financial system Finance
30	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 Add to Reading List Source URL: www.tri-pro.mu Language: English - Date: 2008-11-06 08:23:44 Financial system 73rd United States Congress United States Securities and Exchange Commission United States securities law Securities Act Prospectus Securities market Self-regulatory organization Settlement Securities Financial economics Finance

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