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

Self-regulatory organization
Results: 1339

#	Item
931	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BYX[removed]March 12, 2012 Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of Proposed Rule Change by BATS Y-Exchange, Inc. t Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-13 12:45:01 United States Securities and Exchange Commission U.S. Securities and Exchange Commission Self-regulatory organization BATS Global Markets Economy of the United States Finance Financial system Chicago Stock Exchange United States securities law 73rd United States Congress Securities Exchange Act
932	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-16 10:23:21 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
933	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MSRB[removed]March 27, 2009 Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Proposed Rule Change Relating t Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-04-01 10:40:49 United States securities law Business United States Securities and Exchange Commission Law 73rd United States Congress U.S. Securities and Exchange Commission Self-regulatory organization Securities Exchange Act Franchising Financial regulation Electronic Municipal Market Access Municipal Securities Rulemaking Board
934	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-03 15:06:47 Finance Financial Industry Regulatory Authority Registered representative General Securities Principal Exam General Securities Representative Exam Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities Act United States securities law Financial economics Financial system
935	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]October 11, 2012 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Acc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-12 11:52:02 Financial system Securities research Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Initial public offering Global settlement Investment banking United States securities law Financial economics Finance
936	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-09 14:29:36 Business Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ ACT Selling away Securities regulation in the United States United States securities law Economy of the United States Financial regulation
937	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-24 12:43:16 United States Securities and Exchange Commission New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization Financial regulation Economy of the United States United States United States securities law 73rd United States Congress Securities Exchange Act
938	Microsoft Word - FINRA 2008-031final.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-07-11 11:18:08 Self-regulatory organization U.S. Securities and Exchange Commission Securities Exchange Act Financial system Economy of the United States Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
939	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]March 5, 2013 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule C Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-03-07 11:24:27 Trade Reporting And Compliance Engine Business Financial system U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization ACT Selling away OTC Bulletin Board United States securities law Financial regulation Financial Industry Regulatory Authority
940	Microsoft Word[removed]for pdf Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-05 12:07:13 Business Financial system Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Selling away Mary Schapiro United States securities law Financial Industry Regulatory Authority Financial regulation

UPDATE