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Self-regulatory organization
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541	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]January 21, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-22 17:49:45 New York Stock Exchange Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization United States United States securities law Financial regulation Economy of the United States
542	March 8, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 08:47:28 United States Securities and Exchange Commission Law Securities Exchange Act U.S. Securities and Exchange Commission Government Public administration Fifth Amendment to the United States Constitution Regulation Philippine Dealing Exchange Financial regulation United States securities law Self-regulatory organization
543	March 8, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:06:12 U.S. Securities and Exchange Commission Securities Exchange Act Public administration Regulation Law Financial regulation Government Self-regulatory organization Autorité des marchés financiers United States securities law United States Securities and Exchange Commission Corporate crime
544	Form U10 Instructions For Completion and Submission by Check or Money Order We now offer on line submissions of the Form U10. This new option provides a more convenient credit card paym Add to Reading List Source URL: tn.gov Language: English - Date: 2013-02-13 10:38:02 Financial regulation Business Financial system Finance Self-regulatory organization General Securities Representative Exam Uniform Combined State Law Exam Uniform Securities Agent State Law Exam Financial adviser United States securities law Professional certification in finance Financial economics
545	March 15, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-15 12:16:56 Finance Self-regulatory organization Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Securities research Trade Reporting And Compliance Engine NASDAQ Selling away United States securities law Financial economics Financial system
546	ALBERTA SECURITIES COMMISSION RECOGNITION ORDER SELF-REGULATORY ORGANIZATION Mutual Fund Dealers Association of Canada/ Association canadienne des courtiers de fonds mutuels Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-06-05 09:25:10 Audit committee Business Finance Mutual Fund Dealers Association Auditing Corporate governance
547	JEFFREY T. BROWN Senior Vice President Office of Legislative and Regulatory Affairs 555 12th Street, NW Suite 740N Washington, DC[removed]tel[removed]fax[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-14 14:25:03 Government Public administration Economics of regulation Financial regulation Self-regulatory organization Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Regulation Administrative law United States securities law Law
548	I, Manon Losier, the duly appointed General Counsel and Secretary of the New Brunswick Securities Commission (Commission), hereby certify that the following restated Recognition Order of the Mutual Fund Dealers Associati Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2013-06-05 09:25:16 Finance Investment Business Money Mutual Fund Dealers Association Self-regulatory organization Securities Commission
549	Comments on s7[removed]and s7-40-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:41:18 Private law Committees Corporations law Self-regulatory organization U.S. Securities and Exchange Commission Board of directors National Association of Corporate Directors Business Corporate governance Financial regulation
550	145 King St. West Suite 900 P.O. Box 939 Toronto ON Canada M5H 1J8 T[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:27:37 Universal Market Integrity Rules TMX Group TSX Venture Exchange Investment Industry Regulatory Organization of Canada Financial regulation CNSX Securities Commission U.S. Securities and Exchange Commission Economy of Canada Canada Self-regulatory organizations

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