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Self-regulatory organization
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#	Item
721	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-27 10:46:18 Finance Financial Industry Regulatory Authority Registered representative General Securities Representative Exam General Securities Principal Exam Self-regulatory organization U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Financial analyst United States securities law Financial economics Financial system
722	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-12 15:51:17 Business U.S. Securities and Exchange Commission Securities Exchange Act Financial system Self-regulatory organization Mary Schapiro Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
723	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 21, 2010 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-22 12:46:30 Finance United States Securities and Exchange Commission Securities Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Regulation NMS United States securities law Financial economics Financial system
724	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-31 15:12:22 Finance Financial markets Financial services Stock market Securities Financial Industry Regulatory Authority Registered representative Broker-dealer Self-regulatory organization Financial economics United States securities law Financial system
725	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-17 11:06:41 Business United States Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act OTC Bulletin Board U.S. Securities and Exchange Commission Regulation NMS NASDAQ Self-regulatory organization United States securities law Financial economics Finance
726	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Extending the Operative Date of NYSE Rule 92(c)(3) from December 31, 2010 to August 1, 2011 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-08 15:11:50 Economy of the United States Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Financial system New York Stock Exchange Form 144 United States securities law Financial regulation United States Securities and Exchange Commission
727	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]July 30, 2009 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Amen Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-08-03 08:57:27 73rd United States Congress United States Securities and Exchange Commission U.S. Securities and Exchange Commission Self-regulatory organization Law Government Securities Exchange Act Rulemaking Tower Amendment Municipal Securities Rulemaking Board United States securities law Financial regulation
728	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-27 16:04:28 Financial system Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Regulation NMS Self-regulatory organization Broker-dealer Selling away United States securities law United States Securities and Exchange Commission Financial economics
729	Notice of Filing of Proposed Rule Change to Allow the Mortgage-Backed Securities Division to Provide Guaranteed Settlement and Central Counterparty Services; Correction Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-12 13:11:01 United States Securities and Exchange Commission Financial economics 73rd United States Congress Securities Exchange Act Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Self-regulatory organization Depository Trust & Clearing Corporation Form 144 United States securities law Finance Financial regulation
730	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-31 17:06:00 Financial regulation Expungement Government Registered representative Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities regulation in the United States Arbitration United States securities law Law Financial Industry Regulatory Authority

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