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Self-regulatory organization
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#	Item
521	SRO Release NASD and NYSE: Order Approving Proposed Rule Changes Relating to Anti-Money Laundering Compliance Programs Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-03-16 08:36:54 Financial economics Financial regulation Financial markets Financial services Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Money laundering United States securities law Financial system Finance
522	Microsoft Word - 33_109f2_am.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:48 Securities Financial economics Autorité des marchés financiers Ontario Securities Commission Self-regulatory organization British Columbia Securities Commission Securities Commission United States securities law Investment Industry Regulatory Organization of Canada Financial regulation United States Securities and Exchange Commission Financial system
523	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-11 15:55:17 Financial system Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Bank Secrecy Act Broker-dealer Trade Reporting And Compliance Engine United States securities law Finance Financial economics
524	CSA Staff Notice[removed]Follow-up to Broker-Dealer Registration in the Exempt Market Dealer Category July 12, 2012 Introduction On September 2, 2011, Canadian Securities Administrators (CSA or we) published CSA Staff Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-07 12:02:21 Financial system Investment United States securities law Exempt market dealer Financial regulation Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial Industry Regulatory Authority Broker-dealer Financial economics Self-regulatory organizations Finance
525	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: www.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
526	OMB APPROVAL OMB Number: [removed]Expires: September 30, 2005 Estimated average burden hours per response[removed]25 Add to Reading List Source URL: securities.utah.gov Language: English - Date: 2013-09-12 21:17:09 Finance Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Self-regulatory organization Financial Industry Regulatory Authority Net capital rule Registered Investment Advisor United States securities law Financial economics Financial system
527	FINRA: Order Approving Proposed Rule Change To Adopt FINRA Rule[removed]Anti-Money Laundering Compliance Program) in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-09 13:36:53 Financial system Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Bank Secrecy Act Trade Reporting And Compliance Engine United States securities law Finance Financial economics
528	OMB APPROVAL OMB Number: [removed]Estimated average burden hours per response[removed] Add to Reading List Source URL: www.c2exchange.com Language: English - Date: 2014-01-10 14:36:43 Financial regulation Economics of regulation Securities Exchange Act Public administration Law U.S. Securities and Exchange Commission Securities regulation in the United States Government Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
529	Microsoft Word - 33_109f1_am.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:48 Autorité des marchés financiers British Columbia Securities Commission Ontario Securities Commission Provinces and territories of Canada Securities Commission of New Zealand Government Regulation S-K United States securities law Financial regulation Self-regulatory organization
530	Regulatory Circular TO: BOX Participants FROM: Add to Reading List Source URL: boxexchange.com Language: English - Date: 2013-11-20 11:35:05 73rd United States Congress United States Securities and Exchange Commission Financial system SEC filings Financial regulation Self-regulatory organization United States securities law

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