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Self-regulatory organization
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851	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-29 13:14:48 Financial system Economy of the United States Trade Reporting And Compliance Engine Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Security ACT Securities regulation in the United States United States securities law Financial regulation Financial Industry Regulatory Authority
852	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]June 16, 2005 Self-Regulatory Organizations; New York Stock Exchange, Inc., Notice of Filing of Proposed Rule Change and Amendment Nos. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-06-17 18:00:21 Arbitration New York Stock Exchange Securities Exchange Act Self-regulatory organization United States Financial Industry Regulatory Authority United States securities law Law Arbitral tribunal
853	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]June 17, 2004 Self-Regulatory Organizations; Order Approving Proposed Rule Change and Amendments No. 1, 2, and 3 by New York Stock Excha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-18 11:57:50 Securities Exchange Act New York Stock Exchange U.S. Securities and Exchange Commission Registered representative Self-regulatory organization A. G. Edwards Economy of the United States United States Financial system United States securities law United States Securities and Exchange Commission 73rd United States Congress
854	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-20 10:31:52 Business Financial regulation Securities Exchange Act SEC filings Financial economics Self-regulatory organization U.S. Securities and Exchange Commission Security Structured product United States securities law 73rd United States Congress United States Securities and Exchange Commission
855	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-08-12 11:14:14 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Self-regulatory organization Security NASDAQ Broker-dealer United States securities law Financial economics Financial system
856	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]April 4, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectivene Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-07 09:04:59 Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Financial system Economy of the United States Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
857	Microsoft Word[removed]MSRB App Order.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-07 15:19:02 United States Securities and Exchange Commission Municipal Securities Rulemaking Board Law U.S. Securities and Exchange Commission Government Self-regulatory organization Securities Exchange Act Rulemaking Tower Amendment United States securities law Financial regulation 73rd United States Congress
858	Notice of Filing of Proposed Rule Change to Adopt FINRA Rule[removed]Reporting Requirements) in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-03 15:53:26 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Registered Investment Advisor Selling away United States securities law Financial economics Financial system
859	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]September 21, 2007 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effect Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-26 14:34:45 Financial Industry Regulatory Authority Securities Exchange Act Financial economics ACT Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ Trade Reporting And Compliance Engine Selling away United States securities law Economy of the United States Financial regulation
860	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-10-17 17:55:00 73rd United States Congress United States Securities and Exchange Commission Law U.S. Securities and Exchange Commission Government Self-regulatory organization Securities Exchange Act Rulemaking Tower Amendment United States securities law Financial regulation Municipal Securities Rulemaking Board

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