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Self-regulatory organization
Results: 1339

#	Item
341	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F2 Change or Surrender of Individual Categories Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:39 United States securities law Self-regulatory organizations Financial economics Ontario Securities Commission Autorité des marchés financiers British Columbia Securities Commission Regulation D Securities Commission Investment Industry Regulatory Organization of Canada Financial regulation United States Securities and Exchange Commission Financial system
342	Rules Notice Request for Comments Please distribute internally to: Institutional Legal and Compliance Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-02-08 10:55:03 Self-regulatory organizations Financial services Financial markets Investment Exempt market dealer Investment Industry Regulatory Organization of Canada Canadian Investor Protection Fund Financial Industry Regulatory Authority Financial regulation Financial economics Finance Business
343	Release No[removed]; File Number SR-NASD[removed]Short Sale Delivery Requirements Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-15 17:17:56 Financial regulation Financial system Short selling United States Securities and Exchange Commission Securities Exchange Act Locate Financial Industry Regulatory Authority Securities Act Self-regulatory organization United States securities law Financial economics Finance
344	American Council of Life Insurers on SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-10-06 14:00:19 Finance Securities Exchange Act Self-regulatory organization Registered representative U.S. Securities and Exchange Commission Broker-dealer Securities regulation in the United States Securities Investor Protection Corporation Financial Industry Regulatory Authority United States securities law Financial economics Financial system
345	Testimony of Ben A. Plotkin Chairman and CEO Ryan Beck & Co. before the Committee on Financial Services Subcommittee on Capital Markets, Insurance and Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Financial system U.S. Securities and Exchange Commission Securities Exchange Act Financial economics Registered representative Financial Industry Regulatory Authority Canadian securities regulation United States securities law Financial regulation Self-regulatory organization
346	Microsoft Word - NASD SRO Testimony.doc Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Finance Self-regulatory organization Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States NASDAQ Registered representative Trade Reporting And Compliance Engine Financial regulation United States securities law Financial system Financial economics
347	Microsoft Word - Ketchum on SRO Structure _11-17-05_ draft 7.doc Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Economy of the United States Self-regulatory organization New York Stock Exchange New York City Financial system Securities regulation in the United States United States Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act Financial regulation NYSE Euronext United States securities law
348	SELF-REGULATORY ORGANIZATIONS: EXPLORING THE NEED FOR REFORM HEARING BEFORE THE Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Financial Industry Regulatory Authority Self-regulatory organization Year of birth missing U.S. Securities and Exchange Commission Business Robert R. Glauber NASDAQ Securities regulation in the United States Financial system United States securities law Financial regulation Economy of the United States
349	Rules Notice Concept Paper Request for Comments Dealer Member Rules Please distribute internally to: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-11-07 15:20:06 Self-regulatory organizations United States securities law Financial regulation Financial services Exempt market dealer Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Financial economics Finance Business
350	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-09-08 09:46:03 Financial regulation Business Investment Industry Regulatory Organization of Canada Securities High-frequency trading Universal Market Integrity Rules Canadian securities regulation Financial economics Finance Self-regulatory organizations

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