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Self-regulatory organization
Results: 1339

#	Item
351	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F3 Business Locations other than Head Office Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:35 British Columbia Securities Commission Self-regulatory organization Ontario Securities Commission United States securities law Provinces and territories of Canada Securities Commission of New Zealand Securities Exchange Act Canadian securities regulation Financial regulation Government Autorité des marchés financiers
352	TESTIMONY OF MARC E. LACKRITZ PRESIDENT, SECURITIES INDUSTRY ASSOCIATION 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 United States Securities and Exchange Commission Finance Financial regulation Self-regulatory organization Financial services Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Regulation NMS United States securities law Financial economics Financial system
353	Microsoft Word - mmclemore9351.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-18 15:24:53 Financial regulation Dispute resolution Business Mediation Arbitration Self-regulatory organization Securities Exchange Act U.S. Securities and Exchange Commission Arbitral tribunal United States securities law Law Financial Industry Regulatory Authority
354	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F5 Change of Registration Information Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:38 Autorité des marchés financiers British Columbia Securities Commission Self-regulatory organization Ontario Securities Commission Financial regulation Provinces and territories of Canada Securities Commission of New Zealand Securities Commission Regulation D United States Securities and Exchange Commission Government United States securities law
355	Comments on SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-03-17 15:18:48 Business Financial system Finance Short selling United States Securities and Exchange Commission Securities Exchange Act Financial Industry Regulatory Authority Self-regulatory organization Security United States securities law Financial regulation Financial economics
356	CSA Staff Notice: [removed]Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2013-02-07 10:18:04 Business Investment Exempt market dealer Securities United States securities law Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Broker-dealer Financial economics Finance Self-regulatory organizations
357	Microsoft Word - Self-Regulation in Securities Markets Jan[removed]final.docx Add to Reading List Source URL: www-wds.worldbank.org Language: English - Date: 2011-01-24 09:35:16 United States securities law Business Self-regulatory organizations Securities International Organization of Securities Commissions Securities Exchange Act Financial Industry Regulatory Authority Investment Industry Regulatory Organization of Canada Financial Services Authority Financial regulation Financial system Finance
358	OMB APPROVAL OMB Number: [removed]Expires: September 30, 2005 Estimated average burden hours per response[removed]25 Add to Reading List Source URL: www.dfi.wa.gov Language: English - Date: 2006-07-20 19:14:18 Finance Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Self-regulatory organization Financial Industry Regulatory Authority Net capital rule Registered Investment Advisor United States securities law Financial economics Financial system
359	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-11-06 18:03:39 Ontario Securities Commission British Columbia Securities Commission Autorité des marchés financiers Securities Commission of New Zealand United States securities law Provinces and territories of Canada SEC filings Canadian securities regulation Securities Exchange Act Financial regulation Government Self-regulatory organization
360	TESTIMONY OF WILLIAM J. BRODSKY CHAIRMAN AND CHIEF EXECUTIVE OFFICER CHICAGO BOARD OPTIONS EXCHANGE, INCORPORATED REGARDING SELF-REGULATORY ORGANIZATIONS: EXPLORING THE NEED FOR REFORM Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Economics Financial economics United States securities law United States Securities and Exchange Commission Self-regulatory organization U.S. Securities and Exchange Commission Securities Exchange Act Chicago Board Options Exchange Securities and Exchange Commission Stock market Financial system Financial regulation

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