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Self-regulatory organizations
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#	Item
831	Tradier Brokerage Inc. Fourth Quarter 2014 SEC Rule 606 Report SEC Rule 606 ("Rule") requires all broker-dealers that route orders in equity and option securities to make available quarterly reports that present a genera Add to Reading List Source URL: d2ronhuflgo4cz.cloudfront.net Language: English - Date: 2015-02-06 09:38:56 Financial markets Corporate crime U.S. Securities and Exchange Commission Stock market Self-regulatory organizations NASDAQ Broker-dealer Securities Exchange Act Financial Industry Regulatory Authority Financial economics Investment Finance
832	SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 242 [Release No[removed]; File No. S7[removed]RIN 3235-AK51 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-03 16:40:30 Investment United States Securities and Exchange Commission United States securities law Self-regulatory organizations Stock market Regulation NMS U.S. Securities and Exchange Commission Financial Industry Regulatory Authority National market system plan Financial economics Financial markets Financial system
833	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]December 16, 2013 Self-Regulatory Organizations; The Options Clearing Corporation; Advance Notice Concerning the Governance Committee Ch Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-12-17 09:14:26
834	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 Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2011-01-19 12:02:17 Investment Self-regulatory organizations Computer networking Consolidated Tape Association Direct Edge National market system plan NASDAQ NYSE Arca New York Stock Exchange Financial markets Financial economics Economy of the United States
835	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 Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2014-08-06 10:35:45 Investment Self-regulatory organizations Computer networking Consolidated Tape Association Direct Edge NYSE Arca NASDAQ National market system plan New York Stock Exchange Financial markets Financial economics Economy of the United States
836	Security Traders A ssociation of New York 2014 Brochure Add to Reading List Source URL: stany.org Language: English - Date: 2014-02-06 08:59:08 Finance Financial markets Primary dealers Self-regulatory organizations Securities Depository Trust & Clearing Corporation Guggenheim Partners Goldman Sachs Jefferies & Company Investment Financial economics Investment banks
837	#.. SEC-30 System name: Office of General Counsel Work Files--SEC. System location: Securities and Exchange Commission, Washington, DC[removed]Categories of individuals covered by the system: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:28:06 73rd United States Congress United States Securities and Exchange Commission Financial economics Self-regulatory organizations Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Municipal Securities Rulemaking Board United States securities law Financial regulation Government
838	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]August 11, 2014 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice to Permit OCC to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-12 08:26:50 Options Clearing Corporation Dodd–Frank Wall Street Reform and Consumer Protection Act Bank Futures contract Financial economics Finance Financial system
839	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]November 12, 2014 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of an Emergency Change to OCC’s Procedures t Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-12 16:57:14 Securities Options Clearing Corporation United States federal banking legislation Financial markets Exercise Dodd–Frank Wall Street Reform and Consumer Protection Act Settlement Futures contract Clearing Financial economics Financial system Finance
840	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]May 20, 2013 Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Extension of Review Period of Advance N Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-21 09:05:48 ACT NASDAQ Securities Exchange Act Financial regulation Economy of the United States United States 73rd United States Congress United States Securities and Exchange Commission United States securities law

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