Self-regulatory organizations

Results: 6954



#Item
691Economy of the United States / Financial economics / Investment / 73rd United States Congress / United States Securities and Exchange Commission / Consolidated Tape Association / Securities Exchange Act / National market system plan / Financial Industry Regulatory Authority / Self-regulatory organizations / United States securities law / Financial markets

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CTA[removed]February 12, 2015 Consolidated Tape Association; Order Approving the Nineteenth Substantive Amendment to the Second Restatement of the Co

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Language: English - Date: 2015-02-17 10:25:51
692Investment / Financial economics / Auction theory / Economy of the United States / New York Stock Exchange / Securities Exchange Act / Regulation NMS / Order / Auction / Stock market / Business / United States Securities and Exchange Commission

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]February 17, 2015 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Adopting New Rule

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Language: English - Date: 2015-02-17 15:05:16
693Finance / Financial markets / Financial regulation / Short selling / Securities Exchange Act / United States Securities and Exchange Commission / Financial Industry Regulatory Authority / Short / U.S. Securities and Exchange Commission / United States securities law / Financial economics / Financial system

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BOX[removed]February 4, 2015 Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule

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Language: English - Date: 2015-02-05 10:35:51
694United States housing bubble / Credit default swap / Financial markets / Futures contract / Clearing house / Derivative / Short / LCH.Clearnet / Financial economics / Finance / Financial system

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-ICEEU[removed]February 5, 2015 Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Additio

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Language: English - Date: 2015-02-06 13:50:04
695Investment / Order / NYSE Arca / Market maker / Securities Exchange Act / International Securities Exchange / Finance / Stock market / Financial economics / Financial markets

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-MIAX[removed]February 18, 2015 Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectivene

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Language: English - Date: 2015-02-19 07:10:33
696Financial economics / Financial system / Finance / SEC filings / United States securities law / Futures contract / Securities Exchange Act

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-ICEEU[removed]March 2, 2015 Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule C

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Language: English - Date: 2015-03-03 07:45:24
697United States securities law / Financial economics / Investment / Computer networking / Consolidated Tape Association / NASDAQ / Securities Exchange Act / Financial Industry Regulatory Authority / Direct Edge / Self-regulatory organizations / Economy of the United States / Financial markets

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]February 12, 2015 Joint Industry Plan; Order Approving Amendment No. 34 to the Joint Self-Regulatory Organization Plan Governing the Collection

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Language: English - Date: 2015-02-17 10:27:12
698Finance / Stock market / United States Securities and Exchange Commission / Mathematical finance / Order / Securities Exchange Act / NASDAQ / Short / Algorithmic trading / Financial markets / Financial economics / Investment

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BX[removed]February 24, 2015 Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Chang

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Language: English - Date: 2015-02-25 12:56:30
699Financial economics / Financial system / Self-regulatory organizations / 73rd United States Congress / Securities Exchange Act / U.S. Securities and Exchange Commission / Financial Industry Regulatory Authority / Securities and Exchange Commission / Municipal Securities Rulemaking Board / United States securities law / Financial regulation / United States Securities and Exchange Commission

Trading Suspension: Spriza, Inc.

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Language: English - Date: 2015-03-04 10:15:54
700Ethics / Auditing / Security / Risk management / Operational risk / Internal audit / Committee of Sponsoring Organizations of the Treadway Commission / Risk / Actuarial science / Management

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-ICC[removed]March 2, 2015 Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Approval of Proposed Rule Change to Formalize the ICC O

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Language: English - Date: 2015-03-03 07:44:03
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