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Trade reporting and compliance engine
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51	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-22 18:12:51 Economy of the United States Trade Reporting And Compliance Engine Financial system Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization ACT Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
52	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]April 10, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rul Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-11 15:49:26 Securities Finance 73rd United States Congress United States Securities and Exchange Commission Stock market Security Trade Reporting And Compliance Engine Securities Exchange Act Trust-preferred security United States securities law Financial economics Financial system
53	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASDAQ[removed]July 31, 2007 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change as Modified by Amendme Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-02 16:14:20 Financial regulation Financial system 73rd United States Congress Stock market Securities Exchange Act Rule 144A NASDAQ Trade Reporting And Compliance Engine Financial Industry Regulatory Authority United States securities law United States Securities and Exchange Commission Financial economics
54	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of “Money Market Instrument” in FINRA Rule 6710(o) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-22 18:12:05 Financial Industry Regulatory Authority Trade Reporting And Compliance Engine Investment Securities Exchange Act U.S. Securities and Exchange Commission Security United States securities law Financial regulation Financial economics
55	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]January 13, 2012 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: 2012-01-17 10:53:25 Securities Exchange Act Trade Reporting And Compliance Engine Economy of the United States U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Securities regulation in the United States United States securities law Financial regulation Financial system
56	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-30 15:58:09 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization Securities regulation in the United States U.S. Securities and Exchange Commission Broker-dealer Selling away Trade Reporting And Compliance Engine United States securities law Financial economics Financial system
57	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]February 27, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc; Notice of Filing of Amendment No. 1 to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-28 09:35:57 Stock market Financial system 73rd United States Congress United States Securities and Exchange Commission Finance Trade Reporting And Compliance Engine Security Financial Industry Regulatory Authority Securities market United States securities law Financial economics Investment
58	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 12, 2012 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-13 06:13:25 Financial economics Trade Reporting And Compliance Engine Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Asset-backed security United States securities law Finance Financial regulation
59	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-11-21 09:50:51 Financial system Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Asset-backed security Self-regulatory organization Trade Reporting And Compliance Engine OTC Bulletin Board United States securities law Finance Financial regulation
60	Order Granting Approval of Proposed Rule Change to Adopt FINRA Rule[removed]Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-11-25 12:42:12 Financial Industry Regulatory Authority Financial system Securities Exchange Act Business U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Self-regulatory organizations Financial regulation