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Self-regulatory organization
Results: 1339

#	Item
621	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 10, 2008 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Clarify Amend Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-14 09:57:46 Business Finance 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act Stock exchange U.S. Securities and Exchange Commission Self-regulatory organization Security Stock market United States securities law Financial economics
622	Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc. Relating to Firm Quotations Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-05-27 12:18:41 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Self-regulatory organization Security Net capital rule United States securities law Financial economics Financial system
623	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 36 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-23 10:05:04 Financial economics Finance United States securities law United States Securities and Exchange Commission Short selling Securities Exchange Act New York Stock Exchange Floor broker Self-regulatory organization Financial regulation Financial markets Financial system
624	SECURITIES AND EXCHANGE COMMISSION (Release No. 34-58903A; File No. SR-FINRA[removed]November 13, 2008 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-14 10:37:05 Self-regulatory organization U.S. Securities and Exchange Commission Financial system Business United States securities law Financial regulation Financial Industry Regulatory Authority
625	Microsoft Word[removed]DOC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-13 17:46:22 United States Securities and Exchange Commission Financial regulation Finance 73rd United States Congress Financial markets Securities Exchange Act Securities Act U.S. Securities and Exchange Commission Self-regulatory organization United States securities law Financial economics Financial system
626	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Session Fee Increase for the Regulatory Element of the Continuing Education Requirements of CBOE Rule 9.3A; Rel. No[removed], File No. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-23 14:44:04 Securities Exchange Act Financial Industry Regulatory Authority Chicago Board Options Exchange U.S. Securities and Exchange Commission Self-regulatory organization Financial system United States securities law Economy of the United States Financial regulation
627	Microsoft Word - 34-51273a.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-04-01 15:41:23 Securities Exchange Act United States Securities and Exchange Commission Self-regulatory organization U.S. Securities and Exchange Commission Arbitral tribunal New York Stock Exchange Arbitration Securities regulation in the United States Economy of the United States United States securities law Law 73rd United States Congress
628	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]September 10, 2010 Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Reg Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-15 10:19:13 Financial system Securities Investment United States Securities and Exchange Commission Security U.S. Securities and Exchange Commission Clearing Securities Exchange Act International Organization of Securities Commissions Financial economics ACT NASDAQ
629	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]May 15, 2013 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 29 to the Joint Self-Regulatory Organization Pl Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-16 09:56:13 73rd United States Congress United States Securities and Exchange Commission Financial regulation Business Securities Exchange Act NASDAQ Chicago Stock Exchange Financial Industry Regulatory Authority U.S. Securities and Exchange Commission United States securities law Self-regulatory organizations Economy of the United States
630	Proposed Rule Changes of Self Regulatory Organization Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-07 14:12:26 Financial system Securities Finance United States securities law Financial regulation Self-regulatory organization U.S. Securities and Exchange Commission

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