Self-regulatory organization - PDFSEARCH.IO - Document Search Engine

Self-regulatory organization
Results: 1339

#	Item
401	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File Nos. SR-NYSE[removed]; SR-NYSEAmex[removed]July 31, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extensio Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-01 12:04:46 Financial regulation Regulation NMS Securities Exchange Act Self-regulatory organization New York Stock Exchange U.S. Securities and Exchange Commission Economy of the United States United States NYSE Euronext United States Securities and Exchange Commission United States securities law 73rd United States Congress
402	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]July 22, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-23 09:43:10 Financial regulation Expungement Government U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Securities regulation in the United States Arbitration United States securities law Law Financial Industry Regulatory Authority
403	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]August 5, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiven Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 08:24:07 Finance Financial Industry Regulatory Authority General Securities Principal Exam Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Investment Banking Exam Selling away United States securities law Financial economics Financial system
404	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: 2014-07-28 13:16:03 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
405	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-07 12:51:06 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Finance Investment Self-regulatory organizations Securities Financial regulation
406	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Media Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-07 12:51:05 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
407	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: 2014-08-01 15:21:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
408	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 17:01:07 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
409	Education and Outreach Seminar July 29, 2014 \| Chicago, IL About the MSRB • A self-regulatory organization created by Congress in 1975 Add to Reading List Source URL: www.msrb.org Language: English - Date: 2014-07-31 16:19:28 Dodd–Frank Wall Street Reform and Consumer Protection Act Law Rulemaking Electronic Municipal Market Access Tower Amendment Self-regulatory organizations Municipal Securities Rulemaking Board Financial regulation
410	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: 2014-09-10 16:51:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation

UPDATE