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

Self-regulatory organization
Results: 1339

#	Item
431	IN THE MATTER OF THE SECURITIES ACT, S.N.B. 2004, c. S-5.5 AS AMENDED (the ACT) AND IN THE MATTER OF INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA (IIROC) Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-11 15:28:28 Investment Industry Regulatory Organization of Canada Securities Financial system Finance United States securities law Autorité des marchés financiers Securities Commission Securities Act Self-regulatory organizations Financial economics Financial regulation
432	South Carolina Code of Regulations[removed]Exemptions for Certain Canadian Broker-Dealers. A. A broker-dealer that is registered in Canada and that does not have a place of business in this State shall be exempt from the Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial system Broker-dealer Security Securities Act Self-regulatory organization Exempt market dealer Form 144 Financial economics United States securities law Finance
433	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]August 11, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rul Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-12 08:25:50 Securities Exchange Act United States securities law Financial economics Financial system New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization Market maker Regulation NMS United States Securities and Exchange Commission Financial markets 73rd United States Congress
434	FORM 1 REGISTRATION AS A SELF REGULATORY ORGANIZATION Pursuant to section[removed]of the Securities Act, 2012 and by-law 15 of the Securities (General) By-Laws, 2013 General Instructions: Add to Reading List Source URL: www.ttsec.org.tt Language: English - Date: 2014-04-11 15:35:03 Stock market Financial regulation Security Securities Act U.S. Securities and Exchange Commission Financial economics Investment United States securities law 73rd United States Congress United States Securities and Exchange Commission
435	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Media Contact: Add to Reading List Source URL: 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
436	Rule Notice Guidance Note Please distribute internally to: Corporate Finance Institutional Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-12-09 15:46:03 Financial economics Financial regulation Investment Industry Regulatory Organization of Canada Securities Auditing Regulatory compliance Universal Market Integrity Rules Internal audit Audit Business Finance Self-regulatory organizations
437	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 10:00:09 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
438	Microsoft Word - IIROC Strategic Plan - Jan[removed]As Approved by Board.doc Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-01-31 08:00:30 Investment Industry Regulatory Organization of Canada Securities Exempt market dealer Business Regulatory compliance Financial system Canadian securities regulation Financial economics Financial regulation Self-regulatory organizations
439	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Media Contact: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-01 10:31:05 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
440	ANNUAL REPORT 2009–2010 Focusing on our Stakeholders IIROC – Key Facts Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-02-01 15:12:57 Financial economics Finance Investment Investment Industry Regulatory Organization of Canada Securities Canadian securities regulation Universal Market Integrity Rules Financial Industry Regulatory Authority International Organization of Securities Commissions Business Self-regulatory organizations Financial regulation

UPDATE