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Self-regulatory organization
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#	Item
731	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-11 13:22:19 Financial Industry Regulatory Authority Business Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Registered Investment Advisor Selling away United States securities law Financial regulation Financial system
732	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-EDGA[removed]May 21, 2013 Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to the EDGA Exchange Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-21 18:46:30 Financial markets Finance Direct Edge Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Broker-dealer Financial economics Financial system United States securities law
733	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File Nos. SR-NYSE[removed]; SR-NYSEMKT[removed]July 12, 2013 Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Approving Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-15 13:43:34 Investment Business United States Securities and Exchange Commission United States securities law Financial regulation New York Stock Exchange Securities Exchange Act Day trading Self-regulatory organization Financial markets Financial economics NYSE Euronext
734	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-09-08 15:57:29 Finance Investment Municipal Securities Rulemaking Board Financial markets United States securities law U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Security Financial economics Stock market Financial regulation
735	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASDAQ[removed]September 11, 2009 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Amend IM-2 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-16 17:24:21 United States Securities and Exchange Commission Financial regulation Securities Exchange Act Financial Industry Regulatory Authority United States U.S. Securities and Exchange Commission NASDAQ Self-regulatory organization ACT United States securities law Economy of the United States 73rd United States Congress
736	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-27 12:44:57 Economy of the United States American Stock Exchange Euronext Alternext New York Stock Exchange Securities Exchange Act Self-regulatory organization NYSE Arca Stock exchange NYSE Euronext New York City Financial economics
737	Microsoft Word - FINRA[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-03 14:57:07 Financial Industry Regulatory Authority Financial regulation Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities research Selling away United States securities law Financial system Financial economics
738	Notice of Filing of Proposed Rule Change to Adopt FINRA Rules[removed]Know Your Customer) and[removed]Suitability) in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-16 12:25:21 Finance Financial Industry Regulatory Authority Securities Exchange Act Registered representative U.S. Securities and Exchange Commission Self-regulatory organization Broker-dealer Selling away Registered Investment Advisor United States securities law Financial economics Financial system
739	Microsoft Word - 33_109f5_clean_bl.doc Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2013-03-06 16:17:49 British Columbia Securities Commission Autorité des marchés financiers Securities Commission United States securities law Provinces and territories of Canada Government SEC filings 73rd United States Congress United States Securities and Exchange Commission Financial regulation Self-regulatory organization Ontario Securities Commission
740	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 17, 2007 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiv Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-19 10:01:44 Business Financial Industry Regulatory Authority Securities Exchange Act ACT U.S. Securities and Exchange Commission Self-regulatory organization Alternative display facility NASDAQ Trade Reporting And Compliance Engine United States securities law Economy of the United States Financial economics

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