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Self-regulatory organization
Results: 1339

#	Item
481	Microsoft Word - MFDADOCS-#[removed]v1-MSN-0029_-_Joint_Regulatory_Notice.doc Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-03-04 15:38:35 Securities Financial economics Financial system Self-regulatory organization Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Finance Financial regulation Mutual Fund Dealers Association Economy of Canada
482	Moving Toward the Canadian Securities Regulatory Authority IIROC’s Financial Administrators Section Conference June 10, [removed]Victoria Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-08 13:58:51 Financial system Securities Self-regulatory organizations Financial economics Investment Industry Regulatory Organization of Canada Finance Capital market Regulation Securities Commission Financial regulation Canadian law Canadian securities regulation
483	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F2 Change or Surrender of Individual Categories Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:49:45 United States securities law Self-regulatory organizations Financial economics Ontario Securities Commission Autorité des marchés financiers British Columbia Securities Commission Regulation D Securities Commission Investment Industry Regulatory Organization of Canada Financial regulation United States Securities and Exchange Commission Financial system
484	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F1 Notice of Termination of Registered Individuals and Permitted Individuals Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:50:01 Ontario Securities Commission British Columbia Securities Commission Autorité des marchés financiers Securities Commission of New Zealand United States securities law Provinces and territories of Canada SEC filings Canadian securities regulation Securities Exchange Act Financial regulation Government Self-regulatory organization
485	GAO[removed], Securities Research: Additional Actions Could Improve Regulatory Oversight of Analyst Conflicts of Interest Add to Reading List Source URL: www.gao.gov Language: English - Date: 2012-01-12 12:42:33 United States securities law Securities Occupations Securities research Financial Industry Regulatory Authority Self-regulatory organization U.S. Securities and Exchange Commission Global settlement Financial analyst Business Financial economics Finance
486	SEWARD & KISSEL LLP 901 K STREET, NW WASHINGTON, DC[removed]TELEPHONE: ([removed]FACSIMILE: ([removed]WWW.SEWKIS.COM Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-06 13:00:54 Securities Exchange Act Law Rulemaking Financial regulation U.S. Securities and Exchange Commission Government Self-regulatory organization United States securities law United States Securities and Exchange Commission 73rd United States Congress
487	PROGRAM MANAGER The American Immigration Council (AIC) is seeking a, dynamic, proactive, self-starter to join our team. Our Organization  The mission of the AIC is to strengthen America by honoring our immigrant histo Add to Reading List Source URL: www.americanimmigrationcouncil.org Language: English - Date: 2014-07-09 10:44:32 J-1 visa Systems engineering process Regulatory compliance
488	Microsoft PowerPoint - 02D FundSERV.pptx Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-05-08 14:33:46 Institutional investors Finance Securities Self-regulatory organizations Legal entities Insurance Bank Investment Industry Regulatory Organization of Canada Financial institutions Financial economics Investment
489	The Investment Industry Regulatory Organization of Canada, or “IIROC,” is the national self-regulatory organization which oversees all investment dealers and trading activity on debt and equity marketplaces in Canada Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-01-02 10:59:32 Investment Self-regulatory organizations Business Investment Industry Regulatory Organization of Canada Securities Financial adviser Ombudsman for Banking Services and Investments Exempt market dealer Universal Market Integrity Rules Financial regulation Financial economics Finance
490	Microsoft PowerPoint - 02D FundSERV.pptx Add to Reading List Source URL: www.ocrcvm.ca Language: English - Date: 2012-05-08 14:56:01 Institutional investors Finance Securities Self-regulatory organizations Legal entities Insurance Bank Investment Industry Regulatory Organization of Canada Financial institutions Financial economics Investment

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