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Self-regulatory organization
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#	Item
601	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-22 18:12:51 Economy of the United States Trade Reporting And Compliance Engine Financial system Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization ACT Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
602	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 4560 to Correspond with a Rule Change filed by the Financial Industry Regulatory Authority, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-27 12:06:50 Securities Exchange Act Economy of the United States Financial system Self-regulatory organization U.S. Securities and Exchange Commission New York Stock Exchange NYSE Euronext Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
603	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CHX[removed]May 24, 2006 Self-Regulatory Organization; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Waiving a Notice Provis Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-05-26 10:45:43 Economy of the United States 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act U.S. Securities and Exchange Commission Financial regulation United States Self-regulatory organizations Chicago Stock Exchange United States securities law
604	Order Approving Proposed Rule Change Relating to Financial Reporting by Canadian Clearing Members Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-28 09:16:21 Finance Options Clearing Corporation Investment Industry Regulatory Organization of Canada Securities Exchange Act U.S. Securities and Exchange Commission Financial system Self-regulatory organizations Financial economics
605	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-02-20 18:10:20 Financial regulation Business Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Financial system Securities Exchange Act Securities Act Television advertisement Self-regulatory organization United States securities law United States Securities and Exchange Commission 73rd United States Congress
606	CORRECTED SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]February 3, 2009 Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-02-05 15:18:06 Financial system Finance United States Securities and Exchange Commission Financial regulation New York Stock Exchange Securities Exchange Act Euronext U.S. Securities and Exchange Commission Self-regulatory organization NYSE Euronext Financial economics Financial markets
607	Elisse B. Walter Executive V~cePres~dent Regulatory Pol~cyand Programs June 7,2004 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-10 16:25:20 Financial regulation Law Government Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Financial Industry Regulatory Authority Notice of electronic filing United States securities law 73rd United States Congress United States Securities and Exchange Commission
608	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-01 14:49:59 Business Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Security Self-regulatory organization NASDAQ ACT United States securities law Financial economics Financial system
609	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BX[removed]September 11, 2009 Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change to Amend IM[removed]To Ref Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-16 16:27:03 Financial regulation Securities Exchange Act Financial Industry Regulatory Authority Self-regulatory organization U.S. Securities and Exchange Commission Securities research Securities regulation in the United States United States securities law Financial system Financial economics
610	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-16 10:49:23 Chicago Stock Exchange Economy of the United States Securities Exchange Act Financial regulation Financial system U.S. Securities and Exchange Commission Order Self-regulatory organization Form 144 United States securities law United States Securities and Exchange Commission 73rd United States Congress

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