Comment Letter to FINRA from SEC Office of Investor Advocate - Trade Reporting And Compliance Engine - Document - PDFSEARCH.IO

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	Comment Letter to FINRA from SEC Office of Investor Advocate Add to Reading List Document Date: 2015-01-21 10:29:15 Open Document File Size: 121,19 KB Share Result on Facebook Company Financial Industry Regulatory Authority / / IndustryTerm retail customers / retail size transactions / internet sources / / Organization Congress / Securities and Exchange Commission / UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON / D.C. / Submitted Electronically Marcia E. Asquith office of the Corporate / OFFICE OF THE INVESTOR / / Person Marcia E. Asquith / Rick A. Fleming / / Position ADVOCATE / Secretary / Advocate at the U / / URL http / SocialTag Financial system Business Financial regulation Short selling Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Trade Reporting And Compliance Engine United States securities law

Comment Letter to FINRA from SEC Office of Investor AdvocateAdd to Reading List