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Self-regulatory organizations
Results: 6954

#	Item
861	Microsoft Word - 101741666_1 (Nasdaq Reply to ISE Letter[removed]) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-02 14:54:25 NASDAQ International Securities Exchange Rebate Business United States Securities Exchange Act OMX United States antitrust law Economy of the United States Self-regulatory organizations Philadelphia Stock Exchange
862	Notice of Filing of Amendment No. 30 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded o Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2014-10-02 15:26:38 United States Securities and Exchange Commission United States Financial economics 73rd United States Congress Securities Exchange Act NASDAQ Chicago Stock Exchange Direct Edge OMX Self-regulatory organizations Economy of the United States United States securities law
863	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]December 5, 2014 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Modifica Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-08 09:10:56 Finance Financial system Futures contract Dodd–Frank Wall Street Reform and Consumer Protection Act Bank Financial economics Options Clearing Corporation Systemic risk
864	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]May 17, 2013 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice to Change the Expira Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-20 13:58:12 Options Expiration Investment Exercise Option Futures contract Short Pin risk Financial economics Finance Financial system
865	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]January 30, 2015 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Actio Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-02 09:51:43 Securities Exchange Act Financial regulation SEC filings U.S. Securities and Exchange Commission Government United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
866	December 26, 2014 Mr. Brent J. Fields Secretary Securities and Exchange Commission 100 F Street, NE. Washington, DC 20549 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-30 13:26:58 Finance Financial system Stock market Municipal Securities Rulemaking Board Professional certification in finance Securities Industry and Financial Markets Association U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics United States securities law Self-regulatory organizations
867	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]October 15, 2013 Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing Amendment No. 3 to Advance N Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-15 17:56:02 Financial markets Financial risk Liquidity risk Market liquidity ACT Securities Exchange Act Depository Trust & Clearing Corporation Financial economics Financial system Finance
868	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]January 10, 2013 Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice to Elimina Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-11 14:19:56 Securities Financial markets Depository Trust & Clearing Corporation ACT Short Clearing Prime brokerage Settlement Futures contract Financial economics Financial system Finance
869	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]October 17, 2013 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing to Ref Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-18 15:47:28 Options Clearing Corporation Futures contract Derivative Exercise Commodity Futures Trading Commission Option Financial economics Finance Financial system
870	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]February 3, 2015 Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or D Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 08:50:28 Fixed income securities United States housing bubble Structured finance Funds Mortgage-backed security Asset-backed security Exchange-traded fund Securities Act Securitization Financial economics Finance Investment

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