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Self-regulatory organization
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#	Item
551	I Association 85 Richmond St. W. Toronto, Ontario M5H 2C9 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-18 14:55:50 Finance Self-regulatory organizations Central Securities Depositories Canadian law Canadian securities regulation Straight-through processing U.S. Securities and Exchange Commission Investment Industry Regulatory Organization of Canada Security Securities Financial economics Financial system
552	Microsoft Word - FSI As Filed SRO Concept Response ltr _2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-10 13:09:44 Law Financial system Self-regulatory organization Securities Exchange Act U.S. Securities and Exchange Commission Government Regulatory capture Fifth Amendment to the United States Constitution Registered Investment Advisor Financial regulation United States securities law United States Securities and Exchange Commission
553	Comment Letter on s7-40-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:03:34 Law Public administration United States securities law Self-regulatory organization Financial system U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Regulation Regulatory capture Financial regulation Administrative law Economics of regulation
554	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]July 11, 2013 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectivene Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-11 17:48:53 Business Financial Industry Regulatory Authority General Securities Representative Exam Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ Investment Banking Exam United States securities law Economy of the United States Financial economics
555	March 9, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 5th Street, NW Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-10 13:03:42 Self-regulatory organization U.S. Securities and Exchange Commission Law Securities Exchange Act Economy of the United States Regulation Public administration NASDAQ Financial Industry Regulatory Authority United States securities law Financial regulation United States Securities and Exchange Commission
556	Comments on s7[removed]and s7-40-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-10 12:54:39 Administrative law Self-regulatory organization United States securities law Public administration Business Corporate governance U.S. Securities and Exchange Commission Securities Exchange Act Regulation NMS United States Securities and Exchange Commission Financial regulation Law
557	Information Circular Regarding the Special Meeting of IDA Member ﬁrms to consider the proposed combination of the Association and Market Regulation Services Inc. in a new selfregulatory organization Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-10 17:39:39 Securities Canadian securities regulation Porter Airlines Regulation Financial system Law Financial economics Financial regulation Self-regulatory organizations Investment Industry Regulatory Organization of Canada
558	Comments on s7[removed]and s7-40-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-09 09:29:51 Financial regulation United States securities law Financial services Self-regulatory organization Registered Investment Advisor U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Mutual fund Financial economics Investment Finance
559	OMB APPROVAL OMB Number: [removed]Estimated average burden hours per response[removed] Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2014-03-27 12:17:22 Securities Exchange Act Stock market Financial regulation Financial economics NYSE Arca Securities regulation in the United States New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization United States securities law United States Securities and Exchange Commission 73rd United States Congress
560	June 4, 2012 John Stevenson Secretary of the Commission Ontario Securities Commission 20 Queen Street West Toronto, ON Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:11:34 Financial regulation Economy of Ontario TSX Venture Exchange Self-regulatory organization TMX Group Ontario Securities Commission Regulation Economy of Canada Canada Toronto Stock Exchange

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