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Trade reporting and compliance engine
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41	March 15, 2005 Mr. Jonathan G. Katz Secretary Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-03-15 12:16:56 Finance Self-regulatory organization Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Securities research Trade Reporting And Compliance Engine NASDAQ Selling away United States securities law Financial economics Financial system
42	Memo: WAC 460 Update from NASD to FINRA Add to Reading List Source URL: dfi.wa.gov Language: English - Date: 2014-02-21 12:56:00 Finance Financial economics Trade Reporting And Compliance Engine World Group Securities United States securities law Business Financial Industry Regulatory Authority
43	CSA Notice and Request for Comment: Proposed Amendments to NI[removed]Marketplace Operation and NI[removed]Trading Rules Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2014-04-24 11:44:00 Financial system Canadian securities regulation Alternative Trading Systems U.S. Securities and Exchange Commission Security Financial Industry Regulatory Authority Securities Act Trade Reporting And Compliance Engine Form 144 United States securities law Financial regulation Financial economics
44	Memo: WAC 460 Update from NASD to FINRA Add to Reading List Source URL: www.dfi.wa.gov Language: English - Date: 2014-02-21 12:56:00 Finance Financial economics Trade Reporting And Compliance Engine World Group Securities United States securities law Business Financial Industry Regulatory Authority
45	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]August 2, 2012 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Withdrawal of Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-03 09:29:48 Financial Industry Regulatory Authority Financial system Securities Exchange Act Business U.S. Securities and Exchange Commission Trade Reporting And Compliance Engine Selling away United States securities law Self-regulatory organizations Financial regulation
46	Order Approving a Proposed Rule Change Adopting FINRA Rules Regarding Books and Records in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-01-28 15:50:04 Financial economics Financial Industry Regulatory Authority Securities Exchange Act Registered representative Self-regulatory organization U.S. Securities and Exchange Commission Securities regulation in the United States NASDAQ Trade Reporting And Compliance Engine United States securities law Business Economy of the United States
47	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]January 30, 2013 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Perio Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-31 07:00:43 Trade Reporting And Compliance Engine Securities Exchange Act Business Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Selling away Securities regulation in the United States United States securities law Financial regulation Financial system
48	Order Approving Proposed Rule Change to Adopt FINRA Rule[removed]Trading Ahead of Research Reports) in the Consolidated FINRA Rulebook (Release No[removed]; File No. SR-FINRA[removed]) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-01-15 18:47:22 Financial system Securities Finance Financial Industry Regulatory Authority Securities Exchange Act Securities research U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Financial economics Self-regulatory organizations
49	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-26 10:49:42 Securities Exchange Act Securities regulation in the United States Financial system U.S. Securities and Exchange Commission Business Self-regulatory organization Selling away Trade Reporting And Compliance Engine United States securities law Financial regulation Financial Industry Regulatory Authority
50	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]November 30, 2009 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Appoving Proposed Rule Change to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-02 10:19:05 Financial system Business Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Financial regulation Financial Industry Regulatory Authority

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