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Self-regulatory organization
Results: 1339

#	Item
981	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 15:41:13 Commodities market Financial system Finance 73rd United States Congress National Futures Association Commodity Futures Trading Commission Commodity Exchange Act Securities Exchange Act Futures contract Financial markets Financial economics United States securities law
982	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Session Fee Increase for the Regulatory Element of the Continuing Education Requirements of NASD Rule 1120; Rel. No[removed], File No. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-15 12:56:20 Financial Industry Regulatory Authority Self-regulatory organization U.S. Securities and Exchange Commission Financial system Law United States securities law Financial regulation Securities Exchange Act
983	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASD[removed]March 11, 2010 Self-Regulatory Organizations; National Association of Securities Dealers, Inc. (n/k/a Financial Industry Regulatory Aut Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-03-15 14:31:06 Business Financial system Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Self-regulatory organization Financial adviser Selling away United States securities law Finance Financial economics
984	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-05-15 11:20:02 United States securities law Economy of the United States Self-regulatory organization Securities Exchange Act New York Stock Exchange New York City U.S. Securities and Exchange Commission Business Euronext NYSE Euronext United States Securities and Exchange Commission Financial regulation
985	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C – NYSE Amex Equities to Clarify that Exchange Systems Enforce Rule 123C with Respect to Market At-The-Close and Limit At-The-Close Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-16 13:23:13 Securities Exchange Act Stock market New York Stock Exchange U.S. Securities and Exchange Commission Self-regulatory organization Order Financial economics Financial system Investment United States securities law United States Securities and Exchange Commission 73rd United States Congress
986	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-06-30 18:00:20 United States Securities and Exchange Commission Financial regulation Financial Industry Regulatory Authority Business Financial system Self-regulatory organization U.S. Securities and Exchange Commission Selling away United States securities law 73rd United States Congress Securities Exchange Act
987	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-15 14:23:24 Financial regulation Financial system Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission New York Stock Exchange NYSE Euronext Selling away United States securities law Economy of the United States Financial Industry Regulatory Authority
988	14 March 2005 Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W., Stop 6-9 Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-15 12:09:51 United States securities law Auditing Self-regulatory organization Corporate governance U.S. Securities and Exchange Commission Law Private law Securities Exchange Act Audit committee Corporations law Business Financial regulation
989	AGREEMENT BETWEEN THE NATIONAL ASSOCIATION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-03-27 12:13:16 Financial regulation Financial Industry Regulatory Authority Financial system New York Stock Exchange Self-regulatory organization NYSE Arca U.S. Securities and Exchange Commission Securities regulation in the United States International Securities Exchange United States securities law Securities Exchange Act Economy of the United States
990	3416 Federal Register / Vol. 69, No[removed]Friday, January 23, [removed]Notices SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-06-09 13:00:41 Financial system Financial Industry Regulatory Authority Securities Exchange Act Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Self-regulatory organization NASDAQ Fifth Amendment to the United States Constitution United States securities law Financial regulation Economy of the United States

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