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Self-regulatory organization
Results: 1339

#	Item
331	GASB_61_Component_Unit_Glossary Add to Reading List Source URL: 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
332	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 14:56:04 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
333	CORRECTED - September 24, 2014 Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-09-24 09:36:05 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
334	Enforcement Notice Decision Please distribute internally to: Legal and Compliance Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-10-16 16:31:04 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
335	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 15:06:35 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
336	Johann Wolfgang Goethe-Universität Add to Reading List Source URL: www.jura.uni-frankfurt.de Language: English - Date: 2012-09-07 13:15:11 Business Stock market 73rd United States Congress United States Securities and Exchange Commission Securities Securities Exchange Act Securities research U.S. Securities and Exchange Commission Self-regulatory organization United States securities law Financial economics Finance
337	Joint Audit Committee Members Organization Representative(s) Contact Numbers CBOE Futures Exchange, LLC 440 South LaSalle Street Chicago, IL 60605 Lawrence J. Bresnahan Vice President, Member Firm Regulation Add to Reading List Source URL: www.wjammer.com Language: English - Date: 2014-11-19 12:14:45 Economy of the United States National Futures Association Chicago Board Options Exchange Financial economics Financial system Self-regulatory organizations Commodity Futures Trading Commission IntercontinentalExchange
338	CARL WILKERSON CHIEF COUNSEL, SECURITIES 8 LITIGATION December 23,2003 Jonathan G. Katz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-12-31 09:37:00 Finance Self-regulatory organization Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Securities regulation in the United States Broker-dealer Financial Industry Regulatory Authority Selling away United States securities law Financial economics Financial system
339	IIROC Arbitration Program - Final R Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 17:47:02 Arbitration Business Conflict Dispute resolution Investment Industry Regulatory Organization of Canada Financial Industry Regulatory Authority Arbitral tribunal Ombudsman for Banking Services and Investments Law Legal terms Self-regulatory organizations
340	TESTIMONY OF KIM BANG, PRESIDENT AND CHIEF EXECUTIVE OFFICER BLOOMBERG TRADEBOOK LLC, BEFORE THE SUBCOMMITTEE ON CAPITAL MARKETS, INSURANCE, & GOVERNMENT SPONSORED ENTERPRISES OF THE COMMITTEE ON FINANCIAL SERVICES Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Business United States Securities and Exchange Commission Financial markets Economy of the United States United States securities law Regulation NMS Electronic communication network Self-regulatory organization Securities Exchange Act Financial economics Investment Stock market

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