Self-regulatory organizations

Results: 6954



#Item
711Securities Exchange Act / Direct Edge / U.S. Securities and Exchange Commission / Federal Rules of Civil Procedure / Financial regulation / Economy of the United States / Government / United States Securities and Exchange Commission / United States securities law / 73rd United States Congress

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BYX[removed]February 18, 2015 Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule C

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Source URL: www.sec.gov

Language: English - Date: 2015-02-19 07:19:00
712Funds / IShares / International Securities Exchange / MSCI / Chicago Board Options Exchange / Tel Aviv Stock Exchange / Inverse exchange-traded fund / Financial economics / Investment / Exchange-traded funds

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File Nos. SR-MIAX[removed]and SR-MIAX[removed]February 19, 2015 Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Disapproving Pr

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Source URL: www.sec.gov

Language: English - Date: 2015-02-20 12:10:43
713United States securities law / Rebate / Financial regulation / 73rd United States Congress / Securities Exchange Act / United States Securities and Exchange Commission

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BOX[removed]February 6, 2015 Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule

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Source URL: www.sec.gov

Language: English - Date: 2015-02-06 15:51:25
714Business / Financial system / Securities Exchange Act / U.S. Securities and Exchange Commission / Self-regulatory organization / Selling away / Trade Reporting And Compliance Engine / United States securities law / Financial Industry Regulatory Authority / Financial regulation

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]February 23, 2015 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effect

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Source URL: www.sec.gov

Language: English - Date: 2015-02-24 09:13:44
715Corporate governance / United States Securities and Exchange Commission / Business / Financial economics / Securities Exchange Act / U.S. Securities and Exchange Commission / Audit committee / Finance / Stock exchange / United States securities law / Stock market / Auditing

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]February 5, 2015 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pa

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Source URL: www.sec.gov

Language: English - Date: 2015-02-06 09:48:31
716Securities Exchange Act / U.S. Securities and Exchange Commission / Securities and Exchange Commission / Financial regulation / Government / Financial economics / United States Securities and Exchange Commission / 73rd United States Congress / United States securities law

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BATS[removed]February 24, 2015 Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Ch

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Source URL: www.sec.gov

Language: English - Date: 2015-02-25 12:53:20
717Securities Exchange Act / International Securities Exchange / U.S. Securities and Exchange Commission / Financial regulation / Government / United States / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-ISE Gemini[removed]March 3, 2015 Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change

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Source URL: www.sec.gov

Language: English - Date: 2015-03-04 07:48:15
718United States securities law / 73rd United States Congress / United States Securities and Exchange Commission / Self-regulatory organizations / Financial markets / Securities Exchange Act / Philadelphia Stock Exchange / U.S. Securities and Exchange Commission / Securities regulation in the United States / Financial economics / Investment / Economy of the United States

OMB APPROVAL OMB Number: [removed]Estimated average burden hours per response[removed]

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Source URL: nasdaqomxphlx.cchwallstreet.com

Language: English - Date: 2015-01-13 16:29:47
719Economy of the United States / Investment / Computer networking / Consolidated Tape Association / Direct Edge / NYSE Arca / NASDAQ / National market system plan / New York Stock Exchange / Financial markets / Self-regulatory organizations / Financial economics

U.S. CONSOLIDATED TAPE DATA The statistics below represent Population, Quote and Trade metrics as provided by the Securities Information Processors (SIPs) and the SIP Administrators responsible for disseminating Level 1

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Source URL: www.nasdaqtrader.com

Language: English - Date: 2014-01-24 09:31:19
720Financial Industry Regulatory Authority / Professional certification in finance / Economy of the United States / Business / Law / Finance / Municipal Securities Rulemaking Board / United States securities law / Self-regulatory organizations / Skadden /  Arps /  Slate /  Meagher & Flom

SECURITIES AND FINANCE LAW SEMINAR SERIES 2014 This six-part seminar series is designed to enhance diversity and inclusion in the securities and finance industries of traditionally underrepresented groups.* Participants

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Source URL: blogs.baruch.cuny.edu

Language: English - Date: 2013-12-05 15:24:54
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