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Self-regulatory organization
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31	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 2, 2015 Admin. Proc. File No Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-02-02 16:48:17 Financial regulation Financial system Business Financial Industry Regulatory Authority OTC Bulletin Board U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
32	ICSA International Council of Securities Associations Self-Regulation in Financial Markets: An Exploratory Survey ICSA Secretariat Add to Reading List Source URL: www.icsa.bz Language: English - Date: 2012-10-22 07:52:05 Finance Self-regulatory organizations Financial markets Securities Financial services International Organization of Securities Commissions U.S. Securities and Exchange Commission Securities regulation in the United States Canadian securities regulation Financial regulation Financial economics Financial system
33	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoFebruary 13, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-13 12:02:52 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer Trade Reporting And Compliance Engine Self-regulatory organization Security Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
34	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 17, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-17 11:14:33 Financial system Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Registered representative H.D. Vest Broker-dealer Securities Exchange Act Financial adviser Self-regulatory organization United States securities law Financial economics Finance
35	PDF Document Add to Reading List Source URL: www.icsa.bz Language: English - Date: 2014-05-19 22:20:04 Financial system Financial regulation International Organization of Securities Commissions Financial markets Self-regulatory organizations Securities Industry and Financial Markets Association ICMA Korea Financial Investment Association Regulation Financial economics Trade associations Finance
36	OctoberEASA Digital Marketing Communications Add to Reading List Source URL: d1349854-51354.blacknighthosting.com Language: English - Date: 2015-04-16 09:40:32 Communication design Graphic design International Chamber of Commerce Self-regulatory organization Direct marketing Advertising to children Business Marketing Advertising
37	SECURITIES AND EXCHANGE COMMISSION (Release No; File NoOctober 17, 2014 Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocatio Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-20 08:01:48 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
38	SECURITIES AND EXCHANGE COMMISSION (Release No. 34-74643A; File No. SR-NYSEMKTApril 9, 2015 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Partial Am Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-10 17:16:48 New York Stock Exchange United States Securities and Exchange Commission Financial system Economy of the United States SEC filing Financial regulation Self-regulatory organization U.S. Securities and Exchange Commission
39	SECURITIES AND EXCHANGE COMMISSION (Release No; File NoNovember 19, 2014 Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-20 18:10:28 Financial economics Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Securities regulation in the United States Securities Act Broker-dealer United States securities law Financial regulation Financial system
40	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-NYSEArcaMarch 19, 2015 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Pro Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-03-20 10:31:49 Financial regulation Securities Exchange Act New York Stock Exchange NYSE Arca U.S. Securities and Exchange Commission Self-regulatory organization United States Financial system NYSE Euronext United States securities law United States Securities and Exchange Commission 73rd United States Congress

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