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Self-regulatory organizations
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#	Item
621	Wells Fargo Advisors, LLC Regulatory Policy One North Jefferson St. Louis, MO[removed]HO004[removed] (t) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-09 12:27:15 Finance United States Securities and Exchange Commission Self-regulatory organizations Financial regulation Financial services Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Broker-dealer United States securities law Financial system Financial economics
622	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BYX[removed]February 12, 2015 Self-Regulatory Organizations; BATS Y- Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 13:46:11 73rd United States Congress Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Schedule TO Government United States SEC filings United States securities law United States Securities and Exchange Commission
623	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BOX[removed]January 30, 2015 Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change to Amend its Rules for Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-02 09:53:05 Mathematical finance Options VIX Chicago Board Options Exchange Futures contract Stock market index Volatility Exercise Exchange-traded fund Financial economics Finance Investment
624	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]February 3, 2015 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 08:45:42 Self-regulatory organizations Financial markets Options Clearing Corporation Economy of the United States Philadelphia Stock Exchange NASDAQ Futures contract Securities Exchange Act Clearing Financial economics Financial system Finance
625	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]February 20, 2015 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings to Deter Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-23 10:08:29 Business Securities Occupations Securities research Financial Industry Regulatory Authority Dodd–Frank Wall Street Reform and Consumer Protection Act Financial analyst Investment banking Security Financial economics United States securities law Finance
626	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FICC[removed]March 2, 2015 Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change to Amend the Rules Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-03-03 07:41:25 Securities First Issues Collectors Club Dodd–Frank Wall Street Reform and Consumer Protection Act Settlement Default Bankruptcy Securities Exchange Act Securities regulation in the United States Financial economics Economics Finance
627	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]February 19, 2015 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiven Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-20 08:07:58 United States securities law Financial regulation 73rd United States Congress United States Securities and Exchange Commission Short selling Securities Exchange Act Betting in poker Short Chicago Board Options Exchange Financial economics Financial system Finance
628	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]February 20, 2015 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-20 15:41:01 Finance Financial markets Self-regulatory organizations United States securities law Short selling Securities Exchange Act Regulation NMS Betting in poker Straddle Financial economics Investment United States Securities and Exchange Commission
629	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]February 26, 2015 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing, as M Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-27 10:29:58 Options Clearing Corporation Financial markets Dividend Futures exchange Short Financial economics Financial system Finance
630	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BX[removed]February 3, 2015 Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 09:04:20 Financial system Securities Futures contract Clearing Securities Exchange Act Algorithmic trading Options Clearing Corporation Clearing house Financial economics Financial markets Finance

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