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Self-regulatory organization
Results: 1339

#	Item
571	RESPONSIBILITIES RELATING TO ASSOCIATED PERSONS, EMPLOYEES, AND OTHERS' EMPLOYEES Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-09-14 13:30:15 Financial regulation Financial economics Economy of the United States Securities Exchange Act NASDAQ U.S. Securities and Exchange Commission Securities Act Self-regulatory organization Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
572	Consultation Paper - December 20, [removed]Incorporation of Individual Representatives of Registered Investment Dealers and Advisers in Canada Add to Reading List Source URL: www.finance.alberta.ca Language: English - Date: 2010-12-20 12:59:12 Investment Self-regulatory organizations Financial regulation Financial adviser Investment Industry Regulatory Organization of Canada Mutual Fund Dealers Association Corporation Exempt market dealer Non-reporting issuer Business Financial economics Finance
573	Order Determining Whistleblower Award Claim Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-31 13:19:43 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission U.S. Securities and Exchange Commission Whistleblower Self-regulatory organization Dodd–Frank Wall Street Reform and Consumer Protection Act Securities regulation in the United States Financial economics United States securities law Financial regulation Business
574	Basel Committee on Banking Supervision The Joint Forum Customer suitability in the retail sale of financial Add to Reading List Source URL: www.iosco.org Language: English - Date: 2008-04-30 05:14:32 Law Securities Commission Autorité des marchés financiers Financial Industry Regulatory Authority Self-regulatory organization Swiss Financial Market Supervisory Authority Federal Financial Supervisory Authority Markets in Financial Instruments Directive U.S. Securities and Exchange Commission Financial regulation Government Financial system
575	MKS KYC Sharing of experience OECD due diligence guidance for responsible supply chains of minerals from conflict-affected and high risk areas 4 May 2011 Add to Reading List Source URL: www.oecd.org Language: English - Date: 2014-07-04 15:36:40 Know your customer Swiss Financial Market Supervisory Authority MKS Integrity Self-regulatory organization Microsoft PowerPoint Software Financial regulation Bank regulation
576	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]April 23, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiven Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-24 08:07:51 Financial Industry Regulatory Authority Financial regulation General Securities Representative Exam Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Registered representative Investment Company Products/Variable Life Contracts Representative Exam United States securities law Financial system Business
577	Order Approving Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to its Minor Rule Violation Plan; Rel. No[removed], File No. SR-NYSE[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-15 11:32:41 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization New York Stock Exchange United States Financial system United States securities law United States Securities and Exchange Commission 73rd United States Congress
578	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]August 21, 2008 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Pr Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-08-25 10:10:58 Financial regulation Municipal Securities Rulemaking Board Government Financial system U.S. Securities and Exchange Commission Self-regulatory organization Securities Act Securities Exchange Act General Securities Principal Exam United States securities law 73rd United States Congress United States Securities and Exchange Commission
579	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BOX[removed]January 3, 2013 Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-04 14:29:15 Securities Exchange Act U.S. Securities and Exchange Commission Business Financial system Self-regulatory organization United States securities law Financial regulation Financial Industry Regulatory Authority
580	June 3, 2004 Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-07 14:13:40 Financial regulation Self-regulatory organization Government U.S. Securities and Exchange Commission Law Public Company Accounting Oversight Board Securities Exchange Act United States Rulemaking United States administrative law United States securities law United States Securities and Exchange Commission

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