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Self-regulatory organization
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#	Item
701	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-09-06 16:32:04 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Financial system Investment International Securities Exchange U.S. Securities and Exchange Commission Security Self-regulatory organization United States securities law Stock market Financial economics
702	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-03 14:45:14 United States Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Securities Act Selling away Investment Banking Exam United States securities law Financial regulation Financial system
703	[START PAGE NUMBERING FOR THIS DOCUMENT CONSECUTIVELY FOLLOWING THE LAST PAGE NUMBER OF THE 19B-4 INFORMATION DOCUMENT] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-08 10:31:24 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Selling away Securities regulation in the United States United States securities law Financial economics Financial system
704	Microsoft Word - 34-54264v2.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-08-03 17:09:28 Securities Exchange Act Financial system Financial Industry Regulatory Authority NASDAQ Self-regulatory organization U.S. Securities and Exchange Commission Registered representative United States securities law Economy of the United States Financial regulation
705	Microsoft Word[removed]docx Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-30 16:18:53 Financial Industry Regulatory Authority Finance U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Securities research United States securities law Financial system Financial economics
706	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-08 10:26:57 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Selling away Mary Schapiro United States securities law Financial economics Financial system
707	Notice of Filing of Proposed Rule Change to Amend Certain Trade Reporting and Compliance Rules Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-03 13:07:21 Financial system Trade Reporting And Compliance Engine Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Asset-backed security Self-regulatory organization Form 144 United States securities law Financial economics Finance
708	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-10-31 17:15:49 73rd United States Congress United States Securities and Exchange Commission Law U.S. Securities and Exchange Commission Self-regulatory organization Government Rulemaking Securities Exchange Act Tower Amendment United States securities law Municipal Securities Rulemaking Board Financial regulation
709	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-30 17:07:07 United States Securities and Exchange Commission Financial regulation Securities Exchange Act Financial system Financial economics Alternext U.S. Securities and Exchange Commission New York Stock Exchange Self-regulatory organization United States securities law NYSE Euronext 73rd United States Congress
710	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-12 13:04:03 Financial regulation Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission General Securities Principal Exam New York Stock Exchange NYSE Euronext Selling away United States securities law Economy of the United States Financial system

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