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#	Item
791	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]August 8, 2014 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-11 10:53:50 Finance Market maker Securities Exchange Act Exchange-traded fund Order Broker-dealer Options Clearing Corporation NASDAQ Philadelphia Stock Exchange Financial economics Financial markets Investment
792	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 13, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-13 15:56:20 Financial economics Financial regulation Financial system Corporate crime U.S. Securities and Exchange Commission Securities Act Securities Exchange Act Broker-dealer Securities and Exchange Commission United States securities law 73rd United States Congress United States Securities and Exchange Commission
793	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 29, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: s3.amazonaws.com Language: English - Date: 2014-02-04 14:40:44 Financial system United States securities law U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Investing online Securities regulation in the United States Financial economics Finance Scottrade
794	South Carolina Code of Regulations[removed]Use of the NASD CRD and IARD to Receive Certain Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative Registrations, Terminations, and Other Forms and Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:39 Financial adviser Investment Uniform Securities Act Business Federal Reserve System Office of the Kansas Securities Commissioner Registered Investment Advisor United States securities law Finance Financial economics
795	SR-EDGX[removed]Page 256 of 257 Exhibit 5B Proposed new language is underlined; proposed deletions are marked by [brackets]. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-28 12:37:11 Finance Financial system Order Broker-dealer Financial economics Stock market Financial markets
796	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASDAQ[removed]August 13, 2014 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-14 09:48:51 Finance Market maker Rebate Options Clearing Corporation Futures contract Market liquidity Broker-dealer Financial markets Financial economics Financial system
797	South Carolina Code of Regulations[removed]Dishonest or Unethical Practices by Broker-Dealers and Agents. A. Broker-Dealers. Each broker-dealer shall observe high standards of commercial honor and just and equitable prin Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:40 Financial markets Broker-dealer Fixed income market Stock market United States securities law Security Repurchase agreement Regulation S-K Securities market Financial economics Finance Financial system
798	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 8, 2014 INVESTMENT COMPANY ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-08 14:02:46 Financial system Net capital rule Broker-dealer Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Financial Industry Regulatory Authority United States securities law Financial economics Financial regulation
799	To: All Interested Persons From: Ohio Public Facilities Commission (OPFC) Add to Reading List Source URL: obm.ohio.gov Language: English - Date: 2014-06-26 11:39:28 Financial adviser Investment Broker-dealer Financial Advisor Securities Exchange Act Municipal Securities Rulemaking Board Registered Investment Advisor Financial economics Finance Financial system
800	State of Ohio OHIO PUBLIC FACILITIES COMMISSION State Office Tower, 30 East Broad Street, Columbus, Ohio[removed]JOSH MANDEL, Treasurer Treasurer of State JON HUSTED Add to Reading List Source URL: obm.ohio.gov Language: English - Date: 2014-06-26 14:49:38 Financial adviser Investment Broker-dealer Securities Exchange Act Financial Advisor Municipal Securities Rulemaking Board Registered Investment Advisor Financial economics Finance Financial system

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