Self-regulatory organization - PDFSEARCH.IO - Document Search Engine

Self-regulatory organization
Results: 1339

#	Item
781	Microsoft Word[removed]CORRECTED.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-18 10:42:53 Financial economics Trade Reporting And Compliance Engine Securities Exchange Act Financial Industry Regulatory Authority Self-regulatory organization U.S. Securities and Exchange Commission ACT Security Selling away United States securities law Financial regulation Financial system
782	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-01-11 10:58:43 73rd United States Congress United States Securities and Exchange Commission Municipal Securities Rulemaking Board Law U.S. Securities and Exchange Commission Self-regulatory organization Securities Exchange Act Rulemaking Securities and Exchange Commission United States securities law Financial regulation Government
783	Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to a Pilot Program Relating to Minimum Numerical Standards in Section 102.01A of the Listed Company Manual; Rel. N Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-06 17:00:40 Financial regulation 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission New York Stock Exchange U.S. Securities and Exchange Commission United States American Stock Exchange Self-regulatory organization New York City Economy of the United States United States securities law
784	Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto by the International Securities Exchange, Inc. Relating to Firm Quotations Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-05-27 12:16:37 United States Securities and Exchange Commission Securities Exchange Act Financial system Financial Industry Regulatory Authority Economy of the United States U.S. Securities and Exchange Commission International Securities Exchange Self-regulatory organization Selling away United States securities law Financial regulation 73rd United States Congress
785	Notice of Filing of Proposed Rule Change Relating to Amendments to New York Stock Exchange Rules 35 (“Floor Employees to be Registered”) and 301 (“Proposed Transfer or Lease of Membership”); Rel. No[removed], Fi Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-23 14:54:31 Securities Exchange Act United States Securities and Exchange Commission Fingerprint New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization Government Securities and Exchange Commission Financial regulation United States securities law Biometrics 73rd United States Congress
786	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]April 22, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Dele Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-23 12:09:54 Economy of the United States Securities Exchange Act Self-regulatory organization Financial system U.S. Securities and Exchange Commission New York Stock Exchange NYSE Euronext United States securities law Financial Industry Regulatory Authority Financial regulation
787	June 17, 2004 Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street N.W. Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-17 12:31:57 Financial system Financial economics 73rd United States Congress Corporate crime U.S. Securities and Exchange Commission Self-regulatory organization Securities Act Order Net capital rule United States Securities and Exchange Commission Financial regulation United States securities law
788	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]June 5, 2009 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Propo Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-06-09 09:43:57 Electronic Municipal Market Access 73rd United States Congress United States Securities and Exchange Commission U.S. Securities and Exchange Commission Self-regulatory organization Securities Exchange Act Financial system Economy of the United States Tower Amendment Financial regulation Municipal Securities Rulemaking Board United States securities law
789	Microsoft Word - Comments by Professor James J Angel Phd CFA on S7[removed]Retrospective Review of Existing Regulations _2_.docx Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-11 12:24:37 Finance Corporate governance United States corporate law Auditing U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Securities Exchange Act Sarbanes–Oxley Act United States securities law Business Financial regulation
790	Microsoft Word[removed]DOC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-12-08 17:02:04 New York Stock Exchange NYSE Arca Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Security Financial economics Investment Stock market Financial regulation Economy of the United States

UPDATE