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Self-regulatory organization
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#	Item
391	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-20 14:46:05 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
392	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-31 16:56:05 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
393	Microsoft Word - g17jan2012.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-01-30 15:47:24 Finance Securities Municipal Securities Rulemaking Board Underwriting U.S. Securities and Exchange Commission Security Self-regulatory organization Issuer Investor Protection and Securities Reform Act Financial economics Stock market Investment
394	Order Determining Whistleblower Award Claim Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-07-31 13:19:43 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission U.S. Securities and Exchange Commission Whistleblower Self-regulatory organization Dodd–Frank Wall Street Reform and Consumer Protection Act Securities regulation in the United States Financial economics United States securities law Financial regulation Business
395	How to Set Up an Organization Account Getting Started with Organization Accounts Complete the following steps to establish an organization account as an issuer or obligated person (illustrated instructions begin on page Add to Reading List Source URL: msrb.org Language: English - Date: 2012-09-05 15:56:37 Email Computing Electronic Municipal Market Access Self-regulatory organizations Municipal Securities Rulemaking Board Rulemaking
396	THE COUNCIL OF STATE GOVERNMENTS RESOLUTION MAINTAINING OVERSIGHT AND REGULATION OF 529 COLLEGE SAVINGS PLANS WITH THE MUNICIPAL SECURITIES RULEMAKING BOARD WHEREAS, oversight and regulation of the 529 college savings pl Add to Reading List Source URL: www.csg.org Language: English - Date: 2009-12-01 16:12:15 Rulemaking Federal Reserve System Government Law Public administration Self-regulatory organization Investor Protection and Securities Reform Act United States administrative law Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission
397	October 25, 2011 Via Electronic Mail: [removed] Elizabeth M. Murphy Secretary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-27 09:27:56 Stock market Financial services Financial regulation Corporate crime U.S. Securities and Exchange Commission Trading halt Hedge fund Self-regulatory organization Commodity Futures Trading Commission Financial economics Investment Finance
398	Page 24 of 59 Exhibit 3a SR-FINRA[removed]General Securities Principal Qualification Examination Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 08:24:10 Financial system Registered Investment Advisor Financial Industry Regulatory Authority Registered representative Securities Exchange Act Financial adviser Self-regulatory organization Broker-dealer General Securities Principal Exam United States securities law Financial economics Finance
399	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 1, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-01 13:31:23 Finance Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Registered representative United States securities law Financial economics Financial system
400	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]March 18, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Propo Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-19 10:24:20 Financial regulation Securities Exchange Act New York Stock Exchange NYSE Arca U.S. Securities and Exchange Commission Self-regulatory organization United States United States securities law United States Securities and Exchange Commission 73rd United States Congress

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