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Self-regulatory organization
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411	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: edgar.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
412	FORM 33-109F5 CHANGE OF REGISTRATION INFORMATION GENERAL INSTRUCTIONS 1. This notice must be submitted when notifying a regulator of changes to Form 3 or Form 4 information in Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:49 United States securities law Ontario Securities Commission Self-regulatory organization British Columbia Securities Commission Form 4 Securities Commission of New Zealand Financial system Canadian securities regulation United States Securities and Exchange Commission Financial regulation SEC filings Government
413	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-24 11:11:04 Financial regulation Investment Industry Regulatory Organization of Canada Securities Business Financial economics Due diligence Law Finance Self-regulatory organizations
414	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-06 15:46:07 Investment Industry Regulatory Organization of Canada Business Self-regulatory organizations Securities Financial regulation
415	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-08-13 16:06:05 Securities Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
416	Table of Contents \| MDA \| Financials \| Security Insert ANNUAL REPORT 2012 – 2013 PROTECTING INVESTORS AND FOSTERING FAIR, EFFICIENT AND COMPETITIVE CAPITAL MARKETS ACROSS CANADA Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-09-04 10:25:04 Business Investment Self-regulatory organizations Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Exempt market dealer High-frequency trading International Organization of Securities Commissions Financial economics Finance Financial regulation
417	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: 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
418	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Elsa Renzella Add to Reading List Source URL: 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
419	Microsoft Word[removed]v1 - IIROC DELEGATION OF REGISTRATION ORDER - FINA… Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:28:06 Investment Industry Regulatory Organization of Canada Securities Finance United States Securities and Exchange Commission United States securities law Self-regulatory organization Securities Act Financial regulation Financial economics Financial system
420	Table of Contents Enforcement REPORT Protecting Investors and Fostering Fair, Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-04-15 10:26:04 Self-regulatory organizations Business Financial regulation Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Universal Market Integrity Rules Financial adviser Securities Commission of New Zealand Financial economics Investment Finance

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