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Self-regulatory organizations
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#	Item
41	NY-#v8-DC_Rules_-_Updates compared with ICM-#v9-DC_Rules_2014 Add to Reading List Source URL: dc.isda.org Language: English - Date: 2016-07-12 15:36:25 Self-regulatory organizations International Swaps and Derivatives Association Auctions ISDA Master Agreement Depository Trust & Clearing Corporation Derivative
42	Rules Relating to Accounts Introduced by Other Brokers or Dealers 17 C.F.R. §§Adopted October 1978 Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-07-05 15:13:24 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Stock market Security Financial markets Net capital rule Broker-dealer
43	2015 ISDA Credit Derivatives Determinations Committees Rules (March 13, 2015 Version) Add to Reading List Source URL: dc.isda.org Language: English - Date: 2015-03-13 12:27:37 Self-regulatory organizations Auctions International Swaps and Derivatives Association ISDA Master Agreement Depository Trust & Clearing Corporation
44	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-03-30 12:23:48 United States securities law 73rd United States Congress U.S. Securities and Exchange Commission Self-regulatory organizations Stock market Securities Exchange Act Securities regulation in the United States Financial Industry Regulatory Authority Spoofing
45	JMB_Insurance_(4C)LogoReverse Add to Reading List Source URL: www.jmbins.com Language: English - Date: 2016-05-23 17:43:17 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Insurance Financial Industry Regulatory Authority
46	Microsoft Wordprivacy statementRev1-09.doc Add to Reading List Source URL: www.tradition.com Language: English - Date: 2009-02-17 13:32:00 Self-regulatory organizations United States securities law Identity management Law Privacy Internet privacy Medical privacy Securities Investor Protection Corporation Financial Industry Regulatory Authority
47	SECURITY REFERENCE FILE www.exchange-data.com Version 2.5 October 2015 Security Reference File Add to Reading List Source URL: www.exchange-data.com Language: English - Date: 2016-07-29 06:58:44 Silver Lake Partners Self-regulatory organizations Financial markets Economy of London London Stock Exchange Tel Aviv Stock Exchange Stock exchange Nasdaq Nordic New York Stock Exchange Australian Securities Exchange Nasdaq Inc. NASDAQ
48	2016 General Disclosures Daiwa Capital Markets America Inc. Dear Valued Customer, We are taking this opportunity to make certain disclosures to you ("You" or "Client") and remind you of certain important SEC and SRO rule Add to Reading List Source URL: www.us.daiwacm.com Language: English - Date: 2016-02-04 11:04:33 Financial markets Stock market Self-regulatory organizations United States securities law Financial services Broker-dealer Algorithmic trading Securities Investor Protection Corporation Order Day trading Financial Industry Regulatory Authority NASDAQ
49	Microsoft Word - 04NY-#v5-DC_Rules_July_24__2009_Version.DOC Add to Reading List Source URL: dc.isda.org Language: English - Date: 2016-07-12 15:36:25 Self-regulatory organizations International Swaps and Derivatives Association ISDA Master Agreement Depository Trust & Clearing Corporation Electronic voting
50	Financial Services Guide Pershing LLC One Pershing Plaza Jersey City, New JerseyUSA ARBN: Add to Reading List Source URL: onlineinvesting.westpac.com.au Language: English - Date: 2016-07-07 23:59:10 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Bank of New York Securities Investor Protection Act Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Pershing LLC Security John J. Pershing

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