Self-regulatory organizations

Results: 6954



#Item
1How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract

How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract

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Source URL: slcg.com

Language: English - Date: 2016-06-02 16:19:24
2n Industry profile Rick McVey, MarketAxess Photos: Claudia Gannon “We’re evolving from a ‘client-to-multi-dealer’ e-trading venue to an ‘all-to-all’ approach that

n Industry profile Rick McVey, MarketAxess Photos: Claudia Gannon “We’re evolving from a ‘client-to-multi-dealer’ e-trading venue to an ‘all-to-all’ approach that

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Source URL: www.marketaxess.com

Language: English - Date: 2014-09-30 16:40:26
3SR-FINRANotice of Filing and Immediate Effectiveness

SR-FINRANotice of Filing and Immediate Effectiveness

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Source URL: www.batsoptions.com

Language: English - Date: 2011-04-30 09:58:53
4Microsoft Wordindex1.doc

Microsoft Wordindex1.doc

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Source URL: www.osc.gov.on.ca

Language: English - Date: 2016-06-15 10:59:39
5JMB_Insurance_(4C)LogoReverse

JMB_Insurance_(4C)LogoReverse

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Source URL: www.jmbins.com

Language: English - Date: 2016-05-23 17:42:06
6Economy / Finance / United States securities law / Self-regulatory organizations / Investment / Securities Investor Protection Corporation / Corporate crime / U.S. Securities and Exchange Commission

Independent Accountants’ Report on Applying Agreed-Upon Procedures Related to An Entity’s Claim of Exclusion from Membership in SIPC To the Directors of ______________________________

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Source URL: www.sipc.org

Language: English - Date: 2016-05-06 15:57:45
7CREDIT DERIVATIVES DETERMINATIONS COMMITTEES RULES (December 18, 2009 Version) 1. COMPOSITION OF CREDIT DERIVATIVES DETERMINATIONS COMMITTEES

CREDIT DERIVATIVES DETERMINATIONS COMMITTEES RULES (December 18, 2009 Version) 1. COMPOSITION OF CREDIT DERIVATIVES DETERMINATIONS COMMITTEES

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Source URL: dc.isda.org

Language: English - Date: 2016-07-12 15:36:25
8Regulatory Considerations for SEC Registered Municipal Advisors By Matthew C. Boba A

Regulatory Considerations for SEC Registered Municipal Advisors By Matthew C. Boba A

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Source URL: www.chapman.com

Language: English - Date: 2016-07-28 12:30:08
9Microsoft Word - OKCoin_Announcement_6docx

Microsoft Word - OKCoin_Announcement_6docx

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Source URL: www.teraexchange.com

Language: English - Date: 2016-06-28 10:05:56
10CREDIT DERIVATIVES DETERMINATIONS COMMITTEES RULES (July 11, 2011 Version) 1. COMPOSITION OF CREDIT DERIVATIVES DETERMINATIONS COMMITTEES

CREDIT DERIVATIVES DETERMINATIONS COMMITTEES RULES (July 11, 2011 Version) 1. COMPOSITION OF CREDIT DERIVATIVES DETERMINATIONS COMMITTEES

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Source URL: dc.isda.org

Language: English - Date: 2016-07-12 15:36:25