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Self-regulatory organization
Results: 1339

#	Item
651	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 2270 and 2910 To Reflect Changes to Corresponding FINRA Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-06 10:25:14 Business Securities Exchange Act Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission NASDAQ Self-regulatory organization ACT Selling away United States securities law Economy of the United States Financial regulation
652	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]September 7, 2007 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Ch Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-10 15:58:57 Financial economics Financial regulation Securities Exchange Act Security U.S. Securities and Exchange Commission Self-regulatory organization ACT Selling away United States securities law Business Financial Industry Regulatory Authority
653	AMERICAN STOCK EXCHANGE" Equities Options ETFs Michael J. Ryan, Jr. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-18 15:08:21 73rd United States Congress Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Financial system Government United States Securities and Exchange Commission United States securities law Financial regulation
654	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]December 17, 2012 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed R Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-18 13:27:45 Financial system Financial regulation Stock market Financial markets Securities Exchange Act United States Securities and Exchange Commission U.S. Securities and Exchange Commission New York Stock Exchange Self-regulatory organization Financial economics United States securities law Business
655	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 19, 2007 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed R Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-22 15:10:50 Securities Exchange Act Business Financial system U.S. Securities and Exchange Commission Self-regulatory organization Pattern day trader Registered Investment Advisor United States securities law Financial regulation Financial Industry Regulatory Authority
656	Notice of Filing of Proposed Rule Change to Create New NYSE Rule 416A ("Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform") and to Amend Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-10-20 14:45:28 Economy of the United States 73rd United States Congress Securities Exchange Act New York Stock Exchange Financial regulation U.S. Securities and Exchange Commission Financial Industry Regulatory Authority United States United States securities law United States Securities and Exchange Commission Self-regulatory organizations
657	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]December 28, 2007 Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to the Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-31 11:10:30 73rd United States Congress Securities Exchange Act New York Stock Exchange U.S. Securities and Exchange Commission Stock exchange Self-regulatory organization Financial economics Financial system Investment United States securities law United States Securities and Exchange Commission Stock market
658	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 15, 2012 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed R Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-11-16 18:41:37 Securities Exchange Act New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization Financial regulation United States United States securities law United States Securities and Exchange Commission 73rd United States Congress
659	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Deleting NYSE Rule 445 and Adopting New Rule 3310 to Correspond with Rule Changes Filed by the Financial Industry Regula Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-05 09:49:00 Economy of the United States Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission United States New York Stock Exchange United States securities law Financial Industry Regulatory Authority Financial regulation
660	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-07-05 16:57:10 73rd United States Congress United States Securities and Exchange Commission U.S. Securities and Exchange Commission Law Government Securities Exchange Act Self-regulatory organization Rulemaking United States securities law Municipal Securities Rulemaking Board Financial regulation

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