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

Self-regulatory organization
Results: 1339

#	Item
301	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-17 15:46:05 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
302	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-23 12:11:04 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
303	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MIAX[removed]October 17, 2014 Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectivenes Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-17 17:34:51 Securities Exchange Act Financial regulation Securities regulation in the United States Self-regulatory organization U.S. Securities and Exchange Commission Arbitration Business United States securities law Financial Industry Regulatory Authority Law
304	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: 2014-10-16 15:06:03 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
305	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-02 15:31:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
306	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 1, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings to Determi Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-01 17:14:16 Arbitral tribunal Arbitration Mediation Self-regulatory organization U.S. Securities and Exchange Commission Business Government United States securities law Financial Industry Regulatory Authority Law
307	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-21 11:36:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
308	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 8, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-08 17:03:51 United States Securities and Exchange Commission U.S. Securities and Exchange Commission Arbitral tribunal Securities Exchange Act Business Self-regulatory organization Economy of the United States United States securities law Financial Industry Regulatory Authority Financial regulation
309	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]September 10, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-11 09:37:42 United States Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Financial Industry Regulatory Authority New York Stock Exchange General Securities Representative Exam Securities Act United States securities law Financial regulation Economy of the United States
310	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-08 15:36:05 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation

UPDATE