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Self-regulatory organization
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#	Item
591	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to amend FINRA Rule[removed]Trading Pauses) to Exclude Rights and Warrants from the Trading Pause Pilot Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-11-25 10:11:58 Financial economics Financial Industry Regulatory Authority Financial system Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Security United States securities law Stock market Financial regulation
592	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-18 09:40:49 Financial regulation Securities Exchange Act New York Stock Exchange Financial system U.S. Securities and Exchange Commission Self-regulatory organization Futures contract Financial economics United States Securities and Exchange Commission United States securities law 73rd United States Congress
593	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CHX[removed]December 30, 2004 Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Stoc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-01-04 16:41:03 Financial regulation Economy of the United States Chicago Stock Exchange Financial system Securities Act Securities Exchange Act U.S. Securities and Exchange Commission Uptick rule Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
594	Order Approving Proposed Rule Change Relating to Month-End Performance Data for Municipal Fund Securities under MSRB Rule G-21 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-08-19 16:12:47 Financial regulation Municipal Securities Rulemaking Board Financial system U.S. Securities and Exchange Commission Self-regulatory organization Finance Securities Act Securities Exchange Act Tower Amendment United States Securities and Exchange Commission United States securities law 73rd United States Congress
595	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-26 10:49:42 Securities Exchange Act Securities regulation in the United States Financial system U.S. Securities and Exchange Commission Business Self-regulatory organization Selling away Trade Reporting And Compliance Engine United States securities law Financial regulation Financial Industry Regulatory Authority
596	Microsoft Word[removed]DOC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-14 11:32:03 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Broker-dealer Registered Investment Advisor Selling away United States securities law Financial economics Financial system
597	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-08-01 14:40:41 Financial regulation 73rd United States Congress United States Securities Exchange Act NASDAQ Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization United States securities law United States Securities and Exchange Commission Economy of the United States
598	Notice of Filing of Proposed Rule Change to Adopt FINRA Rule[removed]Front Running of Block Transactions) in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-06-01 08:27:57 Financial system Financial Industry Regulatory Authority Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Self-regulatory organization ACT Selling away Registered Investment Advisor United States securities law Business Financial regulation
599	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]November 30, 2009 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Appoving Proposed Rule Change to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-02 10:19:05 Financial system Business Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Financial regulation Financial Industry Regulatory Authority
600	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-06-14 09:29:34 Municipal Securities Rulemaking Board 73rd United States Congress Law U.S. Securities and Exchange Commission Government Securities Exchange Act Self-regulatory organization Rulemaking Tower Amendment United States securities law United States Securities and Exchange Commission Financial regulation

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