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Self-regulatory organization
Results: 1339

#	Item
641	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-05-02 17:13:51 Government United States securities law U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Rulemaking Solicitation Tower Amendment Law Municipal Securities Rulemaking Board Financial regulation
642	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendment to Rule A-8(a), on Adoption of Proposed Rules and Submission to Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-09-23 16:39:15 U.S. Securities and Exchange Commission Law Self-regulatory organization Government Securities Exchange Act Rulemaking Tower Amendment Municipal Securities Rulemaking Board United States securities law Financial regulation
643	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-22 17:22:09 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Stock broker Self-regulatory organization New York Stock Exchange Pattern day trader United States securities law Financial economics Business
644	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEARCA[removed]December 14, 2011 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-16 08:44:42 Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Financial system Business United States securities law Securities Exchange Act Financial regulation
645	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Study Outline and Selection Specifications for the Limited Principal – General Securities Sales Supervisor (Series 9/10) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-09 15:14:06 Government Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Financial Industry Regulatory Authority Registered representative General Securities Principal Exam Securities and Exchange Commission United States securities law Financial regulation Financial system
646	Order Appoving Proposed Rule Change to Adopt NASD Rules 2360 and 2361 into the Consolidated Rulebook as FINRA Rules 2130 and 2270 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-11-24 18:08:13 Financial economics Financial Industry Regulatory Authority Financial system Stock market Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Day trading Manning rule United States securities law Business Finance
647	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Definition of Solicitation under MSRB Rules G-37 and G-38; Rel. No[removed], File No. SR-MSRB[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-14 17:14:12 United States securities law Municipal Securities Rulemaking Board 73rd United States Congress United States Securities and Exchange Commission U.S. Securities and Exchange Commission Underwriting Securities Exchange Act Bond Self-regulatory organization Financial economics Financial system Economics
648	Notice of Filing of Proposed Rule Change Relating to Amendments to the Continuing Disclosure Service of the MSRB’s Electronic Municipal Market Access System (EMMA®) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-05-27 09:37:20 United States securities law U.S. Securities and Exchange Commission United States Securities and Exchange Commission Financial system Self-regulatory organization Securities Exchange Act Economy of the United States Nationally recognized statistical rating organization Security Financial regulation Municipal Securities Rulemaking Board Electronic Municipal Market Access
649	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-10 13:16:37 73rd United States Congress United States securities law Financial economics Business Financial markets Securities Exchange Act New York Stock Exchange Self-regulatory organization U.S. Securities and Exchange Commission Financial regulation United States Securities and Exchange Commission Financial system
650	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]November 8, 2012 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiv Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-11-09 14:32:26 Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Financial system Economy of the United States United States securities law Financial regulation OTC Bulletin Board

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