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Self-regulatory organization
Results: 1339

#	Item
841	Order Approving a Proposed Rule Change to Adopt FINRA Rule[removed]Restriction Pertaining to New Member Applications) and to Amend the FINRA Rule 9520 Series (Eligibility Proceedings) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-02-22 09:31:36 Investment Financial Industry Regulatory Authority Manuel P. Asensio U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Self-regulatory organization United States securities law Financial economics Finance
842	Donald E Donahue President National Securities Clearing Corporation Tel: [removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-07-21 10:56:06 Finance Financial regulation Depository Trust & Clearing Corporation U.S. Securities and Exchange Commission Self-regulatory organization Financial system Financial economics Securities
843	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-02-11 09:45:44 Financial regulation Securities Exchange Act NYSE Arca Financial system New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization Market maker Financial economics United States securities law United States Securities and Exchange Commission 73rd United States Congress
844	Notice of Filing of Amendment No. 1 to a Proposed Rule Change and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt FINRA Rules[removed]Know Your Customer) and[removed]Su Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-18 17:08:18 Finance Financial Industry Regulatory Authority Registered representative Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Self-regulatory organization Broker-dealer ACT United States securities law Financial economics Financial system
845	Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Handling of Stop and Stop Limit Orders Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-07-20 08:58:10 Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Finance Securities regulation in the United States United States securities law Financial regulation Financial system
846	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting the Text of Financial Industry Regulatory Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-16 11:50:58 Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Financial system Law Securities regulation in the United States United States securities law Securities Exchange Act Financial regulation
847	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update a Cross-Reference in FINRA Rule[removed]Customer Confirmations) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-17 14:06:39 Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Financial system Economy of the United States Securities regulation in the United States United States securities law Financial Industry Regulatory Authority Financial regulation
848	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-28 13:16:44 Economy of the United States Euronext American Stock Exchange New York Stock Exchange Alternext Securities Exchange Act NYSE Arca Self-regulatory organization Stock exchange NYSE Euronext New York City Financial economics
849	Microsoft Word[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-10 11:07:38 Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Business Economy of the United States ACT Securities regulation in the United States United States securities law Financial Industry Regulatory Authority Financial regulation
850	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-26 11:33:09 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Security Financial adviser NASDAQ Broker-dealer United States securities law Financial economics Business

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