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Self-regulatory organizations
Results: 6954

#	Item
881	ISSN[removed]Financial Market Trends OECD2008 – Pre-publication version for Vol[removed]THE ROLE OF STOCK EXCHANGES IN CORPORATE GOVERNANCE By Hans Christiansen and Alissa Koldertsova1 Add to Reading List Source URL: www.oecd.org Language: English - Date: 2014-07-21 01:52:10 Financial economics Self-regulatory organizations Finance Stock market United States securities law Corporate governance UK Corporate Governance Code Listing Rules Securities regulation in the United States Business Corporations law United Kingdom company law
882	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-OCC[removed]September 30, 2014 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objecti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-01 08:27:42 Options Clearing Corporation Credit Securities Loans Repurchase agreement Settlement Bank Short Default Financial economics Finance Economics
883	#..SEC-19 System name: Division of Corporation Finance and Support Office Working 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 13:17:23 United States Securities and Exchange Commission Government Financial economics Self-regulatory organizations New Deal Securities Act Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission United States securities law Financial regulation 73rd United States Congress
884	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NSCC[removed]June 5, 2013 Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice, as Modified b Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-06-06 12:56:54 Finance Depository Trust & Clearing Corporation ACT Security Settlement Securities Exchange Act Clearing Financial economics Securities Financial system
885	#..SEC-13 System name: No-action and Interpretative Letters--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 13:11:34 73rd United States Congress United States Securities and Exchange Commission Self-regulatory organizations Financial economics 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
886	JEFFREY S. DAVIS VICE PRESIDENT & DEPUTY GENERAL COUNSEL 805 KING FARM BLVD ROCKVILLE, MD[removed]P: +[removed]F: +[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-24 15:25:29 Self-regulatory organizations Philadelphia Stock Exchange NASDAQ Rebate International Securities Exchange Chicago Board Options Exchange Pricing Futures contract Futures exchange Economy of the United States Business Financial economics
887	Microsoft Word - SIFMA_Letterhead_NY Add to Reading List Source URL: www.sifma.org Language: English - Date: 2014-11-10 08:34:17 Self-regulatory organizations Bonds Securities Securities Industry and Financial Markets Association Bond market Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Merrill Lynch Financial economics Investment Finance
888	Client Alert Current Issues Relevant to Our Clients January 29, 2015 FINRA 2015 Regulatory and Examinations Priorities Add to Reading List Source URL: www.chapman.com Language: English - Date: 2015-01-29 12:24:47 Financial Industry Regulatory Authority Business Economy of the United States Municipal Securities Rulemaking Board ACT U.S. Securities and Exchange Commission Securities Exchange Act Registered representative Selling away United States securities law Self-regulatory organizations Financial regulation
889	UTP Q4 2014 UNLISTED TRADING PRIVILEGES U.S. EQUITIES SECURITIES INFORMATION PROCESSOR (UTP SIP) Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2015-02-04 15:31:58 NYSE Arca NASDAQ Direct Edge New York Stock Exchange Philadelphia Stock Exchange Economy of the United States New York City Self-regulatory organizations
890	UTP Q3 2014 UNLISTED TRADING PRIVILEGES U.S. EQUITIES SECURITIES INFORMATION PROCESSOR (UTP SIP) Add to Reading List Source URL: www.utpplan.com Language: English - Date: 2014-11-05 15:07:18 Investment Stock market NYSE Arca NASDAQ Direct Edge New York Stock Exchange Philadelphia Stock Exchange Stock exchange Economy of the United States New York City Self-regulatory organizations

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