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Self-regulatory organization
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#	Item
751	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]January 23, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Perio Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-24 09:19:48 Financial system U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Financial economics Securities regulation in the United States United States securities law Financial regulation Securities Exchange Act
752	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Sample Broker Letters Set Forth In Rule 451 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-11-24 17:42:09 Finance Business Short selling 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Short U.S. Securities and Exchange Commission Self-regulatory organization Financial regulation United States securities law Financial system
753	June 4, 2004 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-07 14:12:58 Law Administrative law Decision theory Rulemaking U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Politics of the United States Public comment United States administrative law Government United States securities law
754	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-22 10:12:55 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 United States securities law Financial regulation Municipal Securities Rulemaking Board
755	Notice of Withdrawal of Proposed Rule G-36, on Fiduciary Duty of Municipal Advisors, and a Proposed Interpretive Notice Concerning the Application of Proposed Rule G-36 to Municipal Advisors Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-09-27 08:09:32 United States Securities and Exchange Commission United States securities law U.S. Securities and Exchange Commission Self-regulatory organization Rulemaking Securities Exchange Act Fiduciary Tower Amendment Law Municipal Securities Rulemaking Board 73rd United States Congress
756	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-06-14 09:02:31 U.S. Securities and Exchange Commission United States Securities and Exchange Commission Self-regulatory organization Law Securities Exchange Act Government Rulemaking Tower Amendment Municipal Securities Rulemaking Board United States securities law Financial regulation
757	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CHX[removed]August 16, 2006 Self-Regulatory Organization; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Retroact Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-08-18 14:17:48 73rd United States Congress United States Securities and Exchange Commission Economy of the United States Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Government Financial regulation Self-regulatory organizations Chicago Stock Exchange United States securities law
758	SECURITIES AND EXCHANGE COMMISSION (Release No[removed], File No. SR-MSRB[removed]June 3, 2009 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Relat Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-06-04 10:16:13 Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission United States Securities and Exchange Commission Financial system Securities Exchange Act Financial economics Credit rating agency Self-regulatory organization Security Financial regulation Electronic Municipal Market Access United States securities law
759	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-06 12:59:10 United States Securities and Exchange Commission Finance Financial regulation Economy of the United States New York Stock Exchange Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Exchange-traded fund Financial economics United States securities law Investment
760	Joanne Moffic-Silver General Counsel and Corporate Secretary Legal Department ORICF ( Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-23 10:20:41 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Government Internal Revenue Service Financial regulation Financial system SEC filings United States Securities and Exchange Commission United States securities law

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