Self-regulatory organizations - PDFSEARCH.IO - Document Search Engine

Self-regulatory organizations
Results: 6954

#	Item
71	Edition 3 Markets Regulation Client Newsletter – March 2014 This is a monthly update presented by business theme to help you understand the changing regulatory landscape. Information is accurate as Add to Reading List Source URL: cib.rbs.com Language: English Economy Finance Money Systemic risk Financial markets Financial regulation Financial services Self-regulatory organizations European Market Infrastructure Regulation Swap Execution Facility Over-the-counter Commodity Futures Trading Commission
72	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: 2015-07-14 11:45:32 United States securities law Self-regulatory organizations Financial regulation Financial Industry Regulatory Authority North American Securities Administrators Association Law Business Economy
73	Microsoft Word - 2014_CDD_Publication.doc Add to Reading List Source URL: globalmarkets.bnpparibas.com Language: English - Date: 2016-05-20 06:12:04 Self-regulatory organizations Legal documents International Swaps and Derivatives Association ISDA Master Agreement Credit event Derivative Day count convention Credit derivative Systemic risk Credit default swap
74	Margin Disclosure Statement Robinhood Financial, LLC (“Robinhood Financial”, we”, “us”, or “our”) is a fully disclosed broker-dealer and member of FINRA and SIPC. Robinhood Financial is based in Palo Alto, Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:12 Financial markets Stock market United States securities law Self-regulatory organizations Margin Security Short Futures contract Securities Investor Protection Corporation Stock Securities lending Contract for difference
75	SECURITIES INVESTOR PROTECTION CORPORATION 2015 Add to Reading List Source URL: www.sipc.org Language: English - Date: 2016-06-03 14:53:27 Finance Economy Money 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
76	(Provisional Translation) April 3, 2015 Securities and Exchange Surveillance Commission The Securities Inspection Policy and the Program for FY2015 I. Securities Inspection Policy Add to Reading List Source URL: www.fsa.go.jp Language: English - Date: 2015-05-22 03:00:56 Economy Finance Money Cabinet Office Securities and Exchange Surveillance Commission Central Securities Depositories Payment systems Self-regulatory organizations Investment Money laundering Depository Trust & Clearing Corporation Investment management
77	Statement Of Stephen P. Harbeck President and Chief Executive Officer, Securities Investor Protection Corporation To The Add to Reading List Source URL: sipc.org Language: English - Date: 2016-06-03 14:53:46 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Madoff investment scandal Securities Investor Protection Act MF Global Bernard Madoff Madoff United States Senate Subcommittee on Securities Insurance and Investment Recovery of funds from the Madoff investment scandal
78	Disclosure - FINRA Rule 4340 Callable Securities As required by FINRA Rule 4340, BNP Paribas Prime Brokerage, Inc. (“the Firm”) is making available to its customers details of how the Firm allocates callable securiti Add to Reading List Source URL: www.primebroker.com Language: English - Date: 2015-08-27 11:43:46 Economy Finance Self-regulatory organizations United States securities law Money Options Financial markets Financial Industry Regulatory Authority Security Callable bond Bond Short
79	Administrative Notice General Please distribute internally to: Senior Management Institutional Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2016-05-26 10:51:09 Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada Canadian securities regulation
80	Commodities Fraud: A serious problem Add to Reading List Source URL: www.smartcheck.cftc.gov Language: English - Date: 2016-06-15 15:37:49 Economy Commodity markets Finance Money Self-regulatory organizations Commodity Futures Trading Commission Commodity pool Financial Industry Regulatory Authority Futures contract Foreign exchange market

UPDATE