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

Self-regulatory organization
Results: 1339

#	Item
881	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-08-02 16:53:46 United States Securities and Exchange Commission Financial regulation Financial system Securities Exchange Act Financial Industry Regulatory Authority NASDAQ U.S. Securities and Exchange Commission Self-regulatory organization United States securities law Economy of the United States 73rd United States Congress
882	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 30, 2008 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effecti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-01-02 15:55:11 Financial economics Financial regulation Securities Exchange Act Alternative display facility U.S. Securities and Exchange Commission ACT Self-regulatory organization Selling away United States securities law Economy of the United States Financial Industry Regulatory Authority
883	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-05-16 16:25:18 Financial system Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization ACT U.S. Securities and Exchange Commission NASDAQ United States securities law Economy of the United States Financial economics
884	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-24 10:25:44 Financial economics Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission NASDAQ Self-regulatory organization Registered representative ACT Securities regulation in the United States United States securities law Economy of the United States Financial regulation
885	[START PAGE NUMBERING FOR THIS DOCUMENT CONSECUTIVELY FOLLOWING THE LAST PAGE NUMBER OF THE 19B-4 INFORMATION DOCUMENT] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-07 15:17:51 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission NASDAQ Broker-dealer Self-regulatory organization Security Trade Reporting And Compliance Engine United States securities law Financial economics Financial system
886	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot Until the Earlier of the Securities and Exchange Commission Approval to Make Such Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-30 10:29:46 Financial system Finance 73rd United States Congress Financial economics Financial markets Securities Exchange Act U.S. Securities and Exchange Commission New York Stock Exchange Self-regulatory organization Financial regulation United States Securities and Exchange Commission United States securities law
887	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-22 10:52:32 Securities Exchange Act Financial system Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Registered representative NASDAQ Securities regulation in the United States United States securities law Economy of the United States Financial regulation
888	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]September 23, 2008 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-25 13:10:23 Business U.S. Securities and Exchange Commission Financial system Securities Exchange Act Self-regulatory organization Mary Schapiro United States securities law Financial Industry Regulatory Authority Financial regulation
889	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-12-01 17:06:42 Stock market Securities Exchange Act Financial regulation Financial economics U.S. Securities and Exchange Commission Security Financial system Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
890	Order Granting Approval of Proposed Rule Change Relating to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-13 12:35:18 United States Securities and Exchange Commission Municipal Securities Rulemaking Board Securities Exchange Act U.S. Securities and Exchange Commission Government Finance Self-regulatory organization Political action committee Securities and Exchange Commission United States securities law Financial regulation 73rd United States Congress

UPDATE