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Self-regulatory organization
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#	Item
691	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-05-16 19:16:15 73rd United States Congress United States Securities and Exchange Commission Law Self-regulatory organization U.S. Securities and Exchange Commission Government Rulemaking Securities Exchange Act Tower Amendment Financial regulation United States securities law Municipal Securities Rulemaking Board
692	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-29 17:19:10 Financial system Self-regulatory organization Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Financial economics Securities research Securities regulation in the United States United States securities law Financial regulation Securities Exchange Act
693	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-03-18 11:12:57 73rd United States Congress United States Securities and Exchange Commission Law U.S. Securities and Exchange Commission Self-regulatory organization Government Securities Exchange Act Rulemaking United States securities law Municipal Securities Rulemaking Board Financial regulation
694	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-03 15:40:25 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Broker-dealer ACT Selling away Investment Banking Exam United States securities law Financial economics Financial system
695	Order Approving a Proposed Rule Change To Amend the Real-Time Transaction Reporting System Information System and Subscription Service Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-22 18:03:44 United States Securities and Exchange Commission United States securities law Electronic Municipal Market Access U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Securities market Business Financial system Financial regulation Municipal Securities Rulemaking Board 73rd United States Congress
696	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-23 13:34:28 Securities Exchange Act Financial system Financial Industry Regulatory Authority U.S. Securities and Exchange Commission NASDAQ Self-regulatory organization Registered representative Securities regulation in the United States Registered Investment Advisor United States securities law Economy of the United States Financial regulation
697	Order Approving a Proposed Rule Change Amending FINRA Rules[removed]Statutory Employment Discrimination Claims) and[removed]Arbitration Disclosure to Associated Persons Signing or Acknowledging Form U4) Relating to Whistleb Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-13 13:22:19 United States securities law Financial regulation Arbitration Whistleblower U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Federal Arbitration Act Self-regulatory organization Arbitration in the United States Law Business Financial Industry Regulatory Authority
698	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]July 1, 2013 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-01 19:29:14 Business Financial Industry Regulatory Authority Securities Exchange Act Registered representative Self-regulatory organization U.S. Securities and Exchange Commission Securities regulation in the United States Municipal Securities Rulemaking Board Securities Act United States securities law Financial regulation Financial system
699	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-24 08:54:31 Financial system Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission General Securities Representative Exam Commodity Futures Trading Commission Self-regulatory organization Security Registered Investment Advisor United States securities law Financial regulation Business
700	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]December 23, 2009 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effective Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-24 09:58:11 Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Chicago Board Options Exchange Self-regulatory organization Financial system United States securities law Economy of the United States Financial regulation

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