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Self-regulatory organizations
Results: 6954

#	Item
61	Substituted Compliance and Systemic Risk: How to Make a Global Market in Derivatives Regulation Sean J. Griffith T.J. Maloney Chair and Professor of Law Add to Reading List Source URL: www.imfs-frankfurt.de Language: English - Date: 2014-09-22 07:16:14 Systemic risk Financial markets Derivative Commodity Futures Trading Commission Great Recession in the United States Presidency of Barack Obama Swap Self-regulatory organizations Arbitrage Futures contract Financial regulation Financial crisis of 200708
62	RBS Markets Regulation Glossary of Acronyms Acronym AIF AIFM AIFMD AMLD Add to Reading List Source URL: cib.rbs.com Language: English Systemic risk Financial markets Financial services Stock market Self-regulatory organizations LCH.Clearnet Clearing house Derivative Over-the-counter Commodity market European Market Infrastructure Regulation Swap Execution Facility
63	PUBLIC INTEREST REGULATOR ANNUAL REPORT 2014 – 2015 IIROC 2014–2015 ANNUAL REPORT 2 Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-09-15 10:56:05 Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Economy Business Law
64	Rules Relating to Supplemental Report on SIPC Membership 17 C.F.R. § Adopted MarchSECURITIES INVESTOR Add to Reading List Source URL: www.sipc.org Language: English - Date: 2016-06-03 14:53:38 United States securities law Self-regulatory organizations Investment Securities Investor Protection Corporation Securities Investor Protection Act U.S. Securities and Exchange Commission Net capital rule
65	PDF Document Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:16 Economy Finance Money United States securities law Self-regulatory organizations Financial markets Financial regulation Investment Securities Investor Protection Corporation Deposit account Broker-dealer Money laundering
66	Microsoft Word - APEX 2014 Statement of Financial Condition - FINAL Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:20 Economy Finance Money Financial markets Self-regulatory organizations United States securities law Valuation Payment systems Security Asset liability management Fair value Securities Investor Protection Corporation
67	NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION, INC. 750 First Street N.E., Suite 1140 Washington, D.C0900 Fax: www.nasaa.org Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2015-10-07 13:17:02 Self-regulatory organizations Financial services United States securities law Broker-dealer Fixed income market Brokerage firm Financial Industry Regulatory Authority
68	IIROC 1006 AR_ENG-cvr.qxd:Layout:01 AM Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2012-01-31 07:59:08 Self-regulatory organizations Economy Business Financial regulation Investment Industry Regulatory Organization of Canada Corporate law Law Corporate governance
69	350 N. St. Paul Street Suite 1300 Dallas, Texaswww.apexclearing.com ANNUAL DISCLOSURE STATEMENT Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:12 Economy Finance Money Financial markets Self-regulatory organizations Stock market United States securities law Financial services Securities Investor Protection Corporation Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission
70	SECURITIES INVESTOR PROTECTION CORPORATION 2015 Add to Reading List Source URL: www.sipc.com Language: English - Date: 2016-06-03 14:53:27 Finance Money Economy Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Corporate crime Securities Investor Protection Act DoddFrank Wall Street Reform and Consumer Protection Act Broker-dealer U.S. Securities and Exchange Commission

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