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Self-regulatory organization
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#	Item
891	[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: 2010-11-08 13:05:32 Financial system Business Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Securities regulation in the United States Selling away Registered Investment Advisor United States securities law Financial Industry Regulatory Authority Financial regulation
892	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-22 11:12:31 Financial system Financial Industry Regulatory Authority OTC Bulletin Board Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Security Self-regulatory organization Selling away United States securities law Financial economics Financial regulation
893	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-28 14:53:44 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Selling away Registered Investment Advisor United States securities law Financial economics Financial system
894	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-06-13 13:49:13 Economics Securities and Exchange Commission Financial regulation Securities Exchange Act Chicago Board Options Exchange Orsa Insider trading Self-regulatory organization Financial system United States securities law Stock market
895	Martha Redding Chief Counsel NYSE New York Stock Exchange Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-20 15:59:58 Finance SEC filings Financial regulation Securities Exchange Act Financial system U.S. Securities and Exchange Commission Futures contract Securities regulation in the United States Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
896	A GUIDE FOR INVESTORS Getting help with your complaint Making a complaint This guide outlines what to do if you believe you were unfairly treated or given Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2012-08-26 17:48:29 Securities Financial economics Investment Industry Regulatory Organization of Canada Financial regulation Law Ontario Securities Commission Ombudsman Business Dispute resolution Ombudsman for Banking Services and Investments Self-regulatory organizations
897	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-20 10:56:42 NYSE Arca Securities Exchange Act Futures contract New York Stock Exchange Listing Rules Financial system Investment Financial economics Financial regulation Self-regulatory organization
898	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]September 12, 2006 Joint Industry Plan; Notice of Filing and Effectiveness of Amendment No. 17 to the Joint SelfRegulatory Organization Plan Go Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-09-14 10:35:26 United States securities law Investment Economy of the United States Stock market United States Securities and Exchange Commission Securities Exchange Act NASDAQ Consolidated Tape Association Financial Industry Regulatory Authority Self-regulatory organizations Financial markets Financial economics
899	Microsoft Word - 34-58778A 1 Correction.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-23 13:45:30 United States securities law Economy of the United States Financial system Financial regulation Chicago Board Options Exchange U.S. Securities and Exchange Commission Self-regulatory organization
900	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGA Rules 2.5 and 11.4 to Permit Qualification and Registration of Authorized Traders of Members Pursuant to Certain Foreign Examination Modu Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-10 09:51:15 Securities Exchange Act Economy of the United States Securities regulation in the United States Canadian securities regulation U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Financial Industry Regulatory Authority United States securities law Financial regulation Law

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