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

Self-regulatory organization
Results: 1339

#	Item
531	Rules Notice Concept Paper Request for Comments Dealer Member Rules Please distribute internally to: Add to Reading List Source URL: www.community.gov.yk.ca Language: English - Date: 2014-07-07 12:02:20 Self-regulatory organizations United States securities law Financial regulation Financial services Exempt market dealer Canadian Investor Protection Fund Investment Industry Regulatory Organization of Canada Canadian securities regulation Financial Industry Regulatory Authority Financial economics Finance Business
532	October 11, 2012 Rossana Di Lieto Vice President, Registration & Complaints Investment Industry Regulatory Organization of Canada Suite 2000, 121 King Street West Toronto, ON M5H 3T9 Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:11:58 Business Financial regulation Self-regulatory organizations Financial markets Canadian Investor Protection Fund Exempt market dealer Financial Industry Regulatory Authority Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial economics Investment Finance
533	ABA AMERICAN BAR ASSOCIATION Defending Liberty Pursuing Justice Section of Business Law Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-09-26 11:53:06 Financial regulation Financial markets Financial services Short selling Broker-dealer Broker Short Self-regulatory organization Securities Exchange Act Financial economics Finance Financial system
534	Neal Wolkoff Acting Chief Executive Officer American Stock Exchange 86 Trinity Place New York, New York[removed]T[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:22:00 Financial economics Business United States Securities and Exchange Commission Self-regulatory organization Financial markets Finance U.S. Securities and Exchange Commission Securities Exchange Act Short Financial regulation Financial system United States securities law
535	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]January 23, 2014 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiven Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-24 09:14:16 Public administration Securities Exchange Act United States Securities and Exchange Commission United States securities law U.S. Securities and Exchange Commission Regulation Self-regulatory organization Law Government Administrative law Economics of regulation Financial regulation
536	Comment Letter (s7[removed]s7-40-04) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 08:37:42 Business Finance Accountancy United States corporate law Economy of the United States Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ Audit committee United States securities law Corporate governance Auditing
537	Comments on s7[removed]and s7-40-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:19:21 Financial economics Business CalSTRS Stock market U.S. Securities and Exchange Commission Self-regulatory organization Securities and Exchange Commission Electronic communication network Short Financial regulation Finance Investment
538	Comments on s7[removed]and s7-40-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:08:48 Financial regulation Self-regulatory organization U.S. Securities and Exchange Commission
539	Bloomberg L.P.499 Park Avenue New York, NY[removed]Tel +[removed]Fax +[removed]bloomberg.com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:38:23 Financial system Self-regulatory organization Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Economy of the United States NASDAQ Regulation Financial Industry Regulatory Authority United States securities law Financial regulation United States Securities and Exchange Commission
540	Microsoft Word - MFDA Variation Order Rule[removed]DOC Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-06-05 09:25:19 Investment Business Mutual Fund Dealers Association Self-regulatory organization Finance

UPDATE