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Self-regulatory organization
Results: 1339

#	Item
321	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]October 9, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rul Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-10 08:00:48 United States Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority New York Stock Exchange Self-regulatory organization SEC filing United States securities law Financial regulation Economy of the United States
322	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: 2014-10-08 14:51:05 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
323	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-06 15:31:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
324	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]September 26, 2014 Joint Industry Plan; Notice of Filing of Amendment No. 32 to the Joint Self-Regulatory Organization Plan Governing the Colle Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-30 14:07:33 Chicago Stock Exchange NASDAQ Securities Exchange Act Direct Edge Unanimity Financial Industry Regulatory Authority Philadelphia Stock Exchange International Securities Exchange Stock market Self-regulatory organizations Economy of the United States United States securities law
325	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-11 15:06:02 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
326	For further information, please contact: Lucy Becker Vice President, Public Affairs[removed]removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-10 11:31:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
327	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-09-04 14:46:04 Finance Financial Industry Regulatory Authority Broker-dealer U.S. Securities and Exchange Commission Financial adviser Self-regulatory organization Securities Act Securities Commission United States securities law Financial economics Financial system
328	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-11-14 15:06:05 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
329	GASB_61_Component_Unit_Glossary Add to Reading List Source URL: www.sco.ca.gov Language: English - Date: 2014-12-10 04:05:30 Self-regulatory organizations United States Generally Accepted Accounting Principles Governmental Accounting Standards Board Governmental accounting Corporation Nonprofit organization GASB 34 GASB 45 Accountancy Business Economy of the United States
330	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-29 14:36:04 Securities Financial economics Financial system Business Finance Investment Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada

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