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Self-regulatory organization
Results: 1339

#	Item
561	Microsoft Word - Sec 914 Comment Letter - Final.doc Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-08-21 21:53:26 Finance Financial system Investment Corporate crime U.S. Securities and Exchange Commission North American Securities Administrators Association Registered Investment Advisor Self-regulatory organization Financial adviser Financial regulation United States securities law Financial economics
562	June 22, 2012 Sarah Corrigall-Brown Senior Legal Counsel, Capital Markets Regulation British Columbia Securities Commission PO Box 10142, Pacific Centre 701 West Georgia Street Add to Reading List Source URL: faircanada.ca Language: English - Date: 2013-12-18 18:11:41 S&P/TSX Composite Index TMX Group British Columbia Securities Commission TSX Venture Exchange Government procurement in the United States Self-regulatory organization Economy of Canada Canada Toronto Stock Exchange
563	STOCK & OPTIONS VIA OVERNIGHT DELIVERY March 8,2005 Mr. Jonathan G. Katz, Secretary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-14 13:59:32 Corporate governance Auditing Administrative law Business Self-regulatory organization Securities Exchange Act U.S. Securities and Exchange Commission Audit committee Public administration United States securities law Financial regulation Law
564	HSBC 4Xb Mkbd W.Emenon, bq. Central C o m d and Mamgiw Director Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-03-27 12:46:05 Financial markets United States securities law Financial regulation Securities Financial services Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Financial economics Financial system Finance
565	MIAMI INTERNATIONAL SECURITIES EXCHANGE, LLC Member Application Form An applicant for membership on the Miami International Securities Exchange, LLC (the “MIAX” or the “Exchange”) must complete this Member Applic Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-09 13:52:56 Financial system Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization International Securities Exchange Settlement Security General Securities Principal Exam United States securities law Financial economics Business
566	Microsoft Word - 3558343_11.DOC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-01-19 15:21:14 73rd United States Congress Securities Exchange Act United States Financial regulation U.S. Securities and Exchange Commission Christopher Cox NASDAQ Self-regulatory organization Financial Industry Regulatory Authority United States securities law United States Securities and Exchange Commission Economy of the United States
567	Carl B. Wilkerson Vice President & Chief Counsel Securities & Litigation[removed]t[removed]f [removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-21 12:17:02 Financial system Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Exchange Act Financial adviser Securities regulation in the United States Broker-dealer United States securities law Financial economics Finance
568	February 15, 2005 Via E-Mail—[removed] Mr. Jonathan G. Katz, Secretary Securities and Exchange Commission 450 Fifth Street, N.W., Stop 6-9 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-02-16 14:16:35 Business Corporate finance Stock market Initial public offering Short Self-regulatory organization U.S. Securities and Exchange Commission Greenshoe Financial economics Financial regulation Finance
569	Microsoft Word - SR-NYSEArca[removed]DOC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-02-16 12:04:40 U.S. Securities and Exchange Commission Regulation NMS NYSE Euronext Christopher Cox Financial system Business Economy of the United States Financial Industry Regulatory Authority Philippine Dealing Exchange Financial regulation United States Securities and Exchange Commission Self-regulatory organization
570	Notice on Best Execution Survey Results Add to Reading List Source URL: iiroc.ca Language: English - Date: 2014-03-28 10:26:04 Financial markets Economy of Canada Universal Market Integrity Rules Financial economics Best execution Investment Industry Regulatory Organization of Canada Market maker Finance Financial regulation Self-regulatory organizations Financial system

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