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Self-regulatory organization
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311	Table of Contents \| Industry Profiles \| MDA \| Financials ANNUAL REPORT 2013–2014 Protecting investors and fostering fair, efficient and competitive capital markets across Canada. Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-08 10:46:03 Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation High-frequency trading Ombudsman for Banking Services and Investments Financial economics Finance Business
312	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 17:11:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
313	Report from the President and CEO Report from the President and CEO This Annual Report describes our regulatory priorities and how we are discharging our mandate in a dynamic and rapidly changing capital markets environ Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-08 09:00:09 Financial economics Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial system Business Investment Non-reporting issuer Financial regulation Securities Self-regulatory organizations
314	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]October 6, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change tha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-07 10:13:50 Financial regulation 73rd United States Congress Securities Exchange Act New York Stock Exchange United States Financial Industry Regulatory Authority Self-regulatory organization U.S. Securities and Exchange Commission IntercontinentalExchange United States securities law Economy of the United States United States Securities and Exchange Commission
315	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]October 1, 2014 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 33 to the Joint Self-Regulatory Organization Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-01 17:14:28 Mobile technology Technology SMS Text messaging Securities Exchange Act Financial Industry Regulatory Authority NYSE Arca NASDAQ Stock market Self-regulatory organizations United States securities law Economy of the United States
316	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-21 13:44:58 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Registered Investment Advisor Selling away United States securities law Financial economics Financial system
317	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 17:11:03 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
318	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-EDGX[removed]September 5, 2014 Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-08 07:43:45 Economy of the United States New York Stock Exchange Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization United States Financial system Chicago Stock Exchange NYSE Arca United States securities law United States Securities and Exchange Commission Financial regulation
319	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 16, 2014 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-17 07:24:39 Financial system U.S. Securities and Exchange Commission Self-regulatory organization Registered representative Securities Exchange Act Finance Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
320	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 19, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-22 10:12:42 Law U.S. Securities and Exchange Commission Self-regulatory organization Federal Rules of Civil Procedure Registered representative Securities Exchange Act Motion Financial system United States securities law Financial Industry Regulatory Authority Financial regulation

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