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Self-regulatory organization
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#	Item
901	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]November 15, 2012 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change A Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-11-16 18:42:10 Financial regulation Securities Exchange Act New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
902	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 17, 2008 Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-19 16:37:34 Financial economics Financial regulation Financial system Securities Exchange Act New York Stock Exchange Finance Self-regulatory organization National best bid and offer U.S. Securities and Exchange Commission United States Securities and Exchange Commission 73rd United States Congress United States securities law
903	[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: 2008-10-08 10:56:33 Financial regulation U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Arbitration Self-regulatory organization Arbitral tribunal Financial system United States securities law Financial Industry Regulatory Authority Law
904	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-28 10:42:21 Financial system Financial regulation Financial markets 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act Options Clearing Corporation Self-regulatory organization U.S. Securities and Exchange Commission Finance United States securities law Business
905	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Reporting Requirements on the Alternative Display Facility Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-16 14:27:24 Financial regulation Alternative display facility Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Securities regulation in the United States United States securities law Economy of the United States Business
906	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend EDGX 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 09:49:12 Securities Exchange Act Financial system Canadian securities regulation Securities regulation in the United States U.S. Securities and Exchange Commission Registered representative Financial Industry Regulatory Authority Self-regulatory organization Securities Act United States securities law Financial regulation Law
907	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule[removed]Governing Clearly Erroneous Transactions Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-03 13:12:10 Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Business Financial system Selling away Securities regulation in the United States United States securities law Financial Industry Regulatory Authority Financial regulation
908	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-14 10:28:55 Financial system Business Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization ACT Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
909	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 18, 2009 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-23 13:14:18 Financial system 73rd United States Congress Finance Financial Industry Regulatory Authority Securities Exchange Act Financial services Securities regulation in the United States Self-regulatory organization U.S. Securities and Exchange Commission United States securities law Financial economics United States Securities and Exchange Commission
910	Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Adopting, as Modified by Amendment No. 1, Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervi Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-03-02 10:39:54 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Securities regulation in the United States Broker-dealer Selling away Registered Investment Advisor United States securities law Financial economics Financial system

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