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

Self-regulatory organization
Results: 1339

#	Item
971	NASD: Order Granting Approval to Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and 2 Thereto Relating to Time Limits for Submission of Claims in Arbitration Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-11-29 16:28:00 Securities Exchange Act Arbitration Fifth Amendment to the United States Constitution Self-regulatory organization Arbitral tribunal Financial regulation Financial system United States securities law Law Financial Industry Regulatory Authority
972	Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC to Establish Royalty Fees for Non-Customer Executions in Options Based on the KBW Bank Index Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-16 13:27:45 SEC filings Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Self-regulatory organization Government Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
973	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASD[removed]November 6, 2007 Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory A Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-08 14:13:44 Financial Industry Regulatory Authority Securities Exchange Act United States Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ ACT Trade Reporting And Compliance Engine United States securities law Economy of the United States Financial regulation
974	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-04 10:26:15 United States Securities and Exchange Commission Financial system Options Clearing Corporation U.S. Securities and Exchange Commission Self-regulatory organization New York Stock Exchange Economy of the United States Financial regulation United States securities law 73rd United States Congress Securities Exchange Act
975	Federal Register / Vol. 68, No[removed]Tuesday, November 4, [removed]Notices filed in the United States Patent and Trademark office, and are available for licensing. DATES: November 4, 2003. FOR FURTHER INFORMATION CONTACT: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-09 12:55:16 Financial system Trade Reporting And Compliance Engine Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization Fee U.S. Securities and Exchange Commission Security United States securities law Financial regulation Business
976	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]October 31, 2013 Joint Industry Plan; Order Approving Amendment No. 30 to the Joint Self-Regulatory Organization Plan Governing the Collection, Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-11-01 07:29:05 Financial economics Financial markets Investment United States Securities and Exchange Commission NASDAQ Securities Exchange Act Chicago Stock Exchange OMX International Securities Exchange Self-regulatory organizations Economy of the United States United States securities law
977	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]October 16, 2013 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-17 17:36:47 United States Securities and Exchange Commission Floor broker Securities and Exchange Commission Self-regulatory organization Financial system Financial regulation Government United States securities law 73rd United States Congress Securities Exchange Act
978	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-07 16:44:29 Investment Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association United States securities law Financial economics Financial system
979	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NFA[removed]December 20, 2006 Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-12-29 15:41:42 Financial system Financial regulation Commodities market 73rd United States Congress Commodity Futures Trading Commission National Futures Association Commodity Exchange Act Securities Exchange Act U.S. Securities and Exchange Commission Financial markets Financial economics United States securities law
980	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-08 11:25:07 Financial regulation Financial Industry Regulatory Authority OTC Bulletin Board Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ Federal Rules of Civil Procedure Selling away United States securities law Economy of the United States Business

UPDATE