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Trade Reporting And Compliance Engine
Results: 112

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71	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-02-03 10:32:35 Financial system Securities Exchange Act Business Self-regulatory organization U.S. Securities and Exchange Commission Trade Reporting And Compliance Engine Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
72	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]April 9, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectivene Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-10 08:56:20 Stock market Economy of the United States Financial markets Alternative Trading Systems Financial Industry Regulatory Authority Securities Exchange Act Trade Reporting And Compliance Engine ACT Alternative display facility United States securities law Financial economics Investment
73	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-04 11:51:51 Financial system Securities Exchange Act Self-regulatory organization Business U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Financial regulation Financial Industry Regulatory Authority
74	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]January 12, 2010 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-13 14:06:04 Business Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization NASDAQ Trade Reporting And Compliance Engine Selling away United States securities law Economy of the United States Financial regulation
75	Microsoft Word - SR-FINRA[removed]w out sig block.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-11-07 09:28:09 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities research Selling away Trade Reporting And Compliance Engine United States securities law Financial economics Financial system
76	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 22, 2011 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effecti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-27 10:04:06 Financial regulation Financial Industry Regulatory Authority Financial economics Securities Exchange Act Alternative display facility ACT U.S. Securities and Exchange Commission Trade Reporting And Compliance Engine United States securities law Self-regulatory organizations Economy of the United States
77	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-29 13:14:48 Financial system Economy of the United States Trade Reporting And Compliance Engine Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Security ACT Securities regulation in the United States United States securities law Financial regulation Financial Industry Regulatory Authority
78	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]September 21, 2007 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effect Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-26 14:34:45 Financial Industry Regulatory Authority Securities Exchange Act Financial economics ACT Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ Trade Reporting And Compliance Engine Selling away United States securities law Economy of the United States Financial regulation
79	Order Approving Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consoli Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-02-04 12:14:55 Financial system Business Securities Exchange Act Self-regulatory organization Securities regulation in the United States U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Financial Industry Regulatory Authority Financial regulation
80	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operational Date of SR-FINRA[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-02 14:47:43 Financial economics Financial Industry Regulatory Authority Securities Exchange Act Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Asset-backed security ACT Selling away Securities regulation in the United States United States securities law Financial regulation Finance

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