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Self-regulatory organization
Results: 1339

#	Item
711	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-02-14 16:35:59 NYSE Arca Economy of the United States New York Stock Exchange Securities Exchange Act Self-regulatory organization Business NYSE Euronext Euronext New York City
712	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-07 08:18:33 United States securities law Collective investment schemes Funds Financial services NYSE Arca Securities Exchange Act New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization Financial economics Investment Finance
713	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]January 25, 2010 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-27 09:35:26 Financial system Securities Exchange Act Business U.S. Securities and Exchange Commission Self-regulatory organization Selling away Securities regulation in the United States United States securities law Financial regulation Financial Industry Regulatory Authority
714	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]November 22, 2010 Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-23 10:27:20 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Financial system Government United States securities law 73rd United States Congress United States Securities and Exchange Commission
715	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-23 10:45:42 Investment Financial system Financial Industry Regulatory Authority Securities Exchange Act Alternative display facility Self-regulatory organization NASDAQ U.S. Securities and Exchange Commission ACT Stock market Financial economics United States securities law
716	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]July 15, 2009 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change R Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-07-17 10:22:11 Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Economy of the United States Self-regulatory organization Chicago Board Options Exchange Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
717	2005 Annual Report - Mutual Fund Dealers Association of Canada Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2008-09-22 15:50:52 Financial regulation Collective investment schemes Financial services Mutual Fund Dealers Association Canadian securities regulation Glorianne Stromberg Self-regulatory organization Securities regulation in the United States Investment Industry Regulatory Organization of Canada Financial economics Investment Finance
718	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-02 17:12:20 Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Economy of the United States Boston Stock Exchange OMX Self-regulatory organization Financial system Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
719	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-EDGX[removed]May 21, 2013 Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the EDGX Exchange, Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-21 18:47:04 Finance Financial markets 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Direct Edge U.S. Securities and Exchange Commission Self-regulatory organization Broker-dealer Financial economics Financial system United States securities law
720	CSA Staff Notice: Guidance on Dispute Resolution Services - Client Disclosure for Registered Dealers and Advisers that are not Members of a Self-Regulatory Organization Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-05-01 11:59:58 Mediation Law Ombudsman for Banking Services and Investments Franchising Confidentiality Dispute resolution Conflict Ethics

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