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Self-regulatory organization
Results: 1339

#	Item
871	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to its Original Financial Listing Standards Pilot Program; Rel. No[removed], File No. SR-NYSE[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-11-02 16:48:51 Financial regulation Securities Exchange Act New York Stock Exchange U.S. Securities and Exchange Commission United States Financial system Self-regulatory organization SEC filing United States securities law 73rd United States Congress United States Securities and Exchange Commission
872	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-12-26 12:00:11 Arbitration New York Stock Exchange Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Financial regulation Economy of the United States Arbitration in the United States Financial Industry Regulatory Authority United States securities law Law Arbitral tribunal
873	Microsoft Word[removed]docx Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-27 11:51:22 Financial system Economy of the United States U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Securities Act OTC Bulletin Board Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
874	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-07-14 11:16:58 Municipal Securities Rulemaking Board 73rd United States Congress United States Securities and Exchange Commission U.S. Securities and Exchange Commission Financial system Self-regulatory organization Securities Exchange Act Finance Security Financial regulation United States securities law Electronic Municipal Market Access
875	EDWARD KNIQHT EXECUTIVE VICE PRESIDENT June 14,2004 Mr. Jonathan G. Katz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-16 14:23:37 Business Financial Industry Regulatory Authority Self-regulatory organization U.S. Securities and Exchange Commission Securities Exchange Act NASDAQ Rulemaking United States securities law Economy of the United States Law
876	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-11 13:08:51 Financial system Financial Industry Regulatory Authority Securities Exchange Act Securities regulation in the United States Self-regulatory organization U.S. Securities and Exchange Commission Registered representative General Securities Principal Exam NASDAQ United States securities law Financial economics Financial regulation
877	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References within Certain FINRA Rules Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-04 15:56:58 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 Industry Regulatory Authority Financial regulation
878	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]June 27, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-27 16:14:16 Financial markets Economy of the United States United States securities law NYSE Arca Equity securities Securities Exchange Act U.S. Securities and Exchange Commission NASDAQ Self-regulatory organization Financial economics Investment Financial system
879	Notice of Filing of Proposed Rule Change to Adopt FINRA Rules[removed]Know Your Customer) and[removed]Suitability) in the Consolidated FINRA Rulebook; Correction Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-23 11:24:48 Finance Financial Industry Regulatory Authority Securities Exchange Act Registered representative Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Selling away Registered Investment Advisor United States securities law Financial economics Financial system
880	Microsoft Word[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-24 12:26:21 Financial regulation Self-regulatory organization Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission General Securities Principal Exam NYSE Euronext Registered representative United States securities law Financial system Financial economics

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