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Self-regulatory organization
Results: 1339

#	Item
491	Yukon Securities Office Ministerial Order Enacting Rule: [removed]and[removed]Instrument Initially Effective in Yukon: March 17, 2008 Form 33-109F5 Change of Registration Information Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-10-02 12:49:56 Autorité des marchés financiers British Columbia Securities Commission Self-regulatory organization Ontario Securities Commission Financial regulation Provinces and territories of Canada Securities Commission of New Zealand Securities Commission Regulation D United States Securities and Exchange Commission Government United States securities law
492	An Investor’s Guide to Making a Complaint Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada. Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-03-08 15:17:18 Legal documents Marketing Ombudsman for Banking Services and Investments Self-regulatory organizations Mediation Investment Industry Regulatory Organization of Canada Arbitration Autorité des marchés financiers Ombudsman Legal terms Law Dispute resolution
493	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-06-12 14:01:04 Securities Financial economics Financial system Business Investment Finance Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada
494	The Matryoshka Doll Principle: Transparent Governance Obligations of FINRA Remain Safely Nested Within the Layers of Existing Securities Regulation Brittany M. McIntosh Add to Reading List Source URL: globalmarkets.jmls.edu Language: English - Date: 2012-12-17 16:19:33 Finance Public Company Accounting Oversight Board Sarbanes–Oxley Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Audit Securities Exchange Act Registered representative United States securities law Accountancy Business
495	Microsoft Word[removed]PIABA inconsistent disclosure report news release FINAL.docx Add to Reading List Source URL: piaba.org Language: English - Date: 2014-10-06 19:58:48 Business Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Stock broker Registered representative Self-regulatory organization Security United States securities law Financial economics Finance
496	OMB APPROVAL OMB Number: [removed]Expires: October 31, 2008 Estimated average burden Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-05 21:51:08 Financial system Financial services Broker-dealer Fixed income market Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Financial adviser United States securities law Financial economics Finance
497	An Investor’s Guide to Making a Complaint Protecting Investors and Fostering Fair and Efficient Capital Markets across Canada. Add to Reading List Source URL: iiroc.ca Language: English - Date: 2013-03-08 15:15:04 Legal documents Marketing Ombudsman for Banking Services and Investments Self-regulatory organizations Mediation Investment Industry Regulatory Organization of Canada Arbitration Autorité des marchés financiers Ombudsman Legal terms Law Dispute resolution
498	CSA Staff Notice[removed]Guidance on Dispute Resolution Services Client Disclosure for Registered Dealers and Advisers that are not members of a Self-Regulatory Organization May 1, 2014 Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-05-01 11:15:45 Mediation Law Ombudsman for Banking Services and Investments Franchising Confidentiality Dispute resolution Conflict Ethics
499	[Comments by ST on November 8, 2010] Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:12 Business Investment Exempt market dealer Securities United States securities law Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Broker-dealer Financial economics Self-regulatory organizations Finance
500	Microsoft Word - 11_321_notice.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:04 Canadian law Canadian securities regulation Financial economics Investment Industry Regulatory Organization of Canada Financial system ACT Business continuity Financial regulation Self-regulatory organizations Business

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