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Self-regulatory organizations
Results: 6954

#	Item
901	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-DTC[removed]January 5, 2015 Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rul Add to Reading List Source URL: dtcc.com Language: English - Date: 2015-01-06 11:06:16 Finance Depository Trust & Clearing Corporation Securities Fee Financial system Financial economics Central Securities Depositories
902	Barbara J. Amsden Managing Director[removed]removed] December 20, 2014 Mr. Bill Rice Add to Reading List Source URL: iiac.ca Language: English - Date: 2014-12-22 11:45:55 Investment Financial regulation Self-regulatory organizations Securities Exempt market dealer Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial adviser Short Financial economics Finance Business
903	Microsoft Word - SR-FINRA[removed]doc Add to Reading List Source URL: www.idc.org Language: English Finance Self-regulatory organizations Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Mutual fund Dodd–Frank Wall Street Reform and Consumer Protection Act Registered Investment Advisor Selling away Financial economics Investment United States securities law
904	Microsoft Word - schapiro_welcome_0209 Add to Reading List Source URL: www.idc.org Language: English U.S. Securities and Exchange Commission Mary Schapiro Mutual fund fees and expenses Financial Industry Regulatory Authority Economy of the United States Financial regulation Government Mutual Fund Directors Forum Self-regulatory organizations United States securities law Corporate crime
905	January 20, 2015 Marcia E. Asquith Office of the Corporate Secretary Financial Industry Regulatory Authority 1735 K Street, NW Add to Reading List Source URL: www.consumerfed.org Language: English - Date: 2015-01-22 16:41:05 Self-regulatory organizations Financial markets Fixed income market Bond Municipal Securities Rulemaking Board Security Municipal bond Financial Industry Regulatory Authority Electronic Municipal Market Access Financial economics Finance Economics
906	January 20, 2015 Marcia E. Asquith Office of the Corporate Secretary Financial Industry Regulatory Authority 1735 K Street, NW Add to Reading List Source URL: consumerfed.org Language: English - Date: 2015-01-22 16:41:05 Self-regulatory organizations Financial markets Fixed income market Bond Municipal Securities Rulemaking Board Security Municipal bond Financial Industry Regulatory Authority Electronic Municipal Market Access Financial economics Finance Economics
907	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]December 30, 2014 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effective Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-31 10:19:02 Chicago Board Options Exchange Fee Economics Business Financial markets Options Price Reporting Authority Market data
908	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CTA[removed]December 31, 2014 Consolidated Tape Association; Notice of Filing of the Nineteenth Substantive Amendment to the Second Restatement of th Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-31 13:43:27 Financial economics Economy of the United States Investment Consolidated Tape Association Securities Exchange Act Financial Industry Regulatory Authority National market system plan NASDAQ U.S. Securities and Exchange Commission Self-regulatory organizations Financial markets United States securities law
909	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]December 31, 2014 Joint Industry Plan; Notice of Filing of Amendment No. 34 to the Joint Self-Regulatory Organization Plan Governing the Collec Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-31 13:43:21 Financial economics United States Securities Exchange Act NASDAQ Financial Industry Regulatory Authority Chicago Stock Exchange U.S. Securities and Exchange Commission OMX International Securities Exchange Self-regulatory organizations United States securities law Economy of the United States
910	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-ISE[removed]January 23, 2015 Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commis Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-26 09:19:30 Securities Exchange Act Financial regulation SEC filings U.S. Securities and Exchange Commission International Securities Exchange Government Financial economics Securities regulation in the United States Form 144 United States securities law 73rd United States Congress United States Securities and Exchange Commission

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