Self-regulatory organizations

Results: 6954



#Item
91Financial markets / Stock market / United States securities law / Self-regulatory organizations / Broker-dealer / Fixed income market / Order / Financial Industry Regulatory Authority / Security / Net capital rule / Manning rule

PDF Document

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Source URL: www.us.daiwacm.com

Language: English - Date: 2016-01-14 23:58:13
92Self-regulatory organizations / Economy of the United States / Financial regulation / Financial economics / Securities Exchange Act / Securities Act / Securities regulation in the United States / Financial Industry Regulatory Authority / Chicago Stock Exchange / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission

SEC News Digest,

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Source URL: www.sec.gov

Language: English - Date: 2008-05-14 16:43:50
93Financial economics / Financial Industry Regulatory Authority / U.S. Securities and Exchange Commission / Finance / Economy of the United States / Securities Investor Protection Act / Self-regulatory organizations / Investment / Securities Investor Protection Corporation

Precision Securities, LLC SIPC Statement As a member of the Securities Investor Protection Corporation (SIPC), funds are available to meet customer claims up to a ceiling of $500,000, including a maximum of $250,000 f

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Source URL: streetonefinancial.com

Language: English - Date: 2014-10-20 17:22:39
94United States securities law / Fiduciary / U.S. Securities and Exchange Commission / AARP / Securities regulation in the United States / Security / Employee Retirement Income Security Act / Law / Self-regulatory organizations / Financial Industry Regulatory Authority

October 25, 2013 Dear Representative: We understand that H.R. 2374, the misnamed “Retail Investor Protection Act,” may be brought to the floor for a vote next week. H.Rwould impede the ability of federal regul

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Source URL: ourfinancialsecurity.org

Language: English - Date: 2013-10-28 15:52:14
95Financial system / Investment / Securities / Securities Investor Protection Corporation / Financial Industry Regulatory Authority / Security / Depository Trust & Clearing Corporation / Financial economics / Self-regulatory organizations / Finance

4250 Veterans Memorial Hwy

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Source URL: public.americanportfolios.com

Language: English
96

SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-NYSEMKTMay 20, 2015 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Propose

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Source URL: www.sec.gov

- Date: 2015-05-20 15:09:22
    97

    SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-PhlxApril 29, 2015 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change

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    Source URL: www.sec.gov

    - Date: 2015-04-29 19:48:06
      98

      SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-C2May 7, 2015 Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed

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      Source URL: www.sec.gov

      - Date: 2015-05-07 15:11:05
        99

        SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-ISE GeminiApril 21, 2015 Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang

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        Source URL: www.sec.gov

        - Date: 2015-04-21 14:23:27
          100

          SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-NYSEMay 12, 2015 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule C

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          Source URL: edgar.sec.gov

          - Date: 2015-05-12 12:54:04
            UPDATE