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Self-regulatory organization
Results: 1339

#	Item
451	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-07 12:51:07 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Finance Investment Self-regulatory organizations Securities Financial regulation
452	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-08-13 16:06:05 Securities Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
453	Welcome… Good afternoon. Thank you Marianne. Welcome to the IIROC Annual General Meeting. Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-09-26 11:25:05 Financial markets Securities Self-regulatory organizations Stock market Financial regulation Investment Industry Regulatory Organization of Canada High-frequency trading Financial economics Finance Investment
454	SECURITIES AND EXCHANGE COMMISSION Washington D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 26, 2014 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-06-26 17:34:38 Finance Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Self-regulatory organization Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
455	Enforcement Notice Decision[removed]For further information, please contact: Media Contact: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-18 16:56:04 Securities Financial economics Financial system Business Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
456	Enforcement Notice Hearing[removed]For further information, please contact: Enforcement Contact: Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-18 14:56:04 Financial regulation Investment Industry Regulatory Organization of Canada Securities Business Due diligence Law Finance Self-regulatory organizations
457	IIROC Strategic Plan[removed] IIROC[removed]Strategic Plan January 2011 IIROC Mandate Add to Reading List Source URL: iiroc.ca Language: English - Date: 2012-05-22 15:28:23 Business Investment Finance Investment Industry Regulatory Organization of Canada Securities Financial Industry Regulatory Authority Exempt market dealer Regulatory compliance Canadian securities regulation Self-regulatory organizations Financial economics Financial regulation
458	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-07-24 11:06:06 Financial regulation Investment Industry Regulatory Organization of Canada Securities Business Financial economics Due diligence Law Finance Self-regulatory organizations
459	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
460	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 15:21:03 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation

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