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Self-regulatory organizations
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#	Item
451	January 6, 2015 Introduction This year marks the tenth edition of the Regulatory and Examinations Priorities Letter. Over the past decade, we have witnessed tremendous change to firms, markets and regulation. Many chang Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-02-26 14:55:08 Finance Business Financial Industry Regulatory Authority Investment Financial services Registered representative Municipal Securities Rulemaking Board Investment banking U.S. Securities and Exchange Commission United States securities law Financial economics Self-regulatory organizations
452	Microsoft Word - BROKERS WSJ submission.docx Add to Reading List Source URL: compute-cuj.org Language: English - Date: 2014-10-24 07:34:16 Business Financial Industry Regulatory Authority Finance Financial services U.S. Securities and Exchange Commission Stock broker Registered representative ACT Selling away United States securities law Self-regulatory organizations Financial economics
453	Notice: To help our country fight the funding of terrorism and money laundering activities, Federal law requires all financial Add to Reading List Source URL: sprottglobal.com Language: English - Date: 2013-05-17 12:20:57 Self-regulatory organizations Financial system Financial Industry Regulatory Authority Securities Investor Protection Corporation Broker-dealer Financial economics United States securities law Finance
454	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]March 20, 2015 The Securities and Exchange Commission (“Commission”) announced the temporary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-03-20 06:09:49 Finance Financial economics Self-regulatory organizations 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Financial Industry Regulatory Authority Form 144 United States securities law Financial regulation United States Securities and Exchange Commission
455	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]April 8, 2015 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Adopting a Principles-Based Appro Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-08 13:52:47 United States Securities and Exchange Commission Investment Financial system Stock market Financial markets Securities Exchange Act Market maker New York Stock Exchange Securities Act United States securities law Financial economics 73rd United States Congress
456	April 6, 2015 MR[removed]Chicago Stock Exchange, Inc. Member Regulation Department Information Memorandum Add to Reading List Source URL: www.chx.com Language: English - Date: 2015-04-06 23:47:34 Financial Industry Regulatory Authority Business Stock market U.S. Securities and Exchange Commission Chicago Stock Exchange Financial economics United States securities law Self-regulatory organizations Economy of the United States
457	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]April 7, 2015 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-08 11:02:36 Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Self-regulatory organization Financial system Government United States securities law 73rd United States Congress United States Securities and Exchange Commission
458	MINISTRY OF FINANCE THE FINANCIAL TRANSACTIONS REPORTING ACT, 2000 (NO. 40 0F[removed]Consolidated Version Add to Reading List Source URL: www.lexbahamas.com Language: English - Date: 2009-02-17 20:02:23 Self-regulatory organizations Economics Economy of London United States securities law London Stock Exchange Stock exchange Irish Stock Exchange Stock Chicago Stock Exchange Stock market Financial economics Investment
459	Working Paper/Document de travail[removed]Liquidity and Central Clearing: Evidence from the CDS Market by Joshua Slive, Jonathan Witmer and Elizabeth Woodman Add to Reading List Source URL: www.bankofcanada.ca Language: English - Date: 2012-12-06 13:09:38 Stock market Self-regulatory organizations LCH.Clearnet Credit default swap Credit Over-the-counter IntercontinentalExchange Derivative Eurex Financial economics Finance Financial system
460	.t.@.N.g.u.b.N2005.{....... (Page 1) Add to Reading List Source URL: www.jsda.or.jp Language: English - Date: 2013-03-05 08:16:56 Securities Securities market Daiwa Securities Group Self-regulatory organizations United States securities law Japanese financial system Broker-dealer Financial economics Finance Financial system

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