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#	Item
231	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Brokers to Process Specified Pool Trade Activity at the Mortgage-Backed Securities Division in Broker Accounts Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-06-07 11:00:40 Finance 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act Depository Trust & Clearing Corporation U.S. Securities and Exchange Commission First Issues Collectors Club Securities and Exchange Commission Financial system Financial economics United States securities law
232	Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Proposed Rule G-43, on Broker’s Brokers; Proposed Amendments to Rule G-8, on Books and Records, Rule G-9, on Record Retenti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-06-25 10:16:09 United States securities law Financial system Financial economics Municipal Securities Rulemaking Board Finance U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Auction Security Business Self-regulatory organizations Financial regulation
233	54 of 66 EXHIBIT 5 Note: Proposed new language is underlined. Proposed deletions are enclosed in brackets Rule G-8: Books and Records to Be Made by Brokers, Dealers and Municipal Securities Dealers (a) Description of Boo Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-11-05 10:23:07 Finance Stock market United States securities law 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act Electronic Municipal Market Access Underwriting Municipal Securities Rulemaking Board Financial economics Securities Investment
234	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Implement a Clearing Submission Fee Credit for Institutional Brokers Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-02-15 12:40:02 Economy of the United States Securities Exchange Act Futures contract Financial system U.S. Securities and Exchange Commission ACT Self-regulatory organizations Chicago Stock Exchange Financial economics
235	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Waive Certain Fees for Floor Brokers for November and December 2012 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-28 06:13:10 Financial system Finance Securities Exchange Act United States Securities and Exchange Commission United States securities law New York Stock Exchange Floor broker U.S. Securities and Exchange Commission Short Financial markets Financial regulation Financial economics
236	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders; Rel. No[removed], File No. SR-Phlx[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-08-03 17:06:38 Finance Floor broker Order Securities Exchange Act Philadelphia Stock Exchange Short Chicago Board Options Exchange Financial markets Financial economics Investment
237	Microsoft Word - Del Stakeholder Insurance Brokers Report Final[removed]docx Add to Reading List Source URL: info.healthconnect.vermont.gov Language: English - Date: 2012-12-17 15:00:32 Financial institutions Institutional investors Economics Insurance Health insurance exchange Health insurance Patient Protection and Affordable Care Act Risk purchasing group Health insurance in the United States Healthcare reform in the United States Investment Financial economics
238	Notice of Filing of Proposed Rule Change Consisting of Amendments to Rule G-37 (Political Contributions and Prohibitions on Municipal Securities Business) and Rule G-8 (Books and Records to be Made by Brokers, Dealers an Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-15 10:48:24 Self-regulatory organizations Municipal Securities Rulemaking Board United States securities law Bonds U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Securities Exchange Act Municipal bond Initiative Financial economics Financial system Economics
239	Notice of Filing of Proposed Rule Change Consisting of (i) Amendments to Rule G-8 (Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers), Rule G-9 (Preservation of Records), and Rule G-11 (Ne Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-07 09:40:26 Finance Self-regulatory organizations Financial regulation Financial markets United States Securities and Exchange Commission Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Industry and Financial Markets Association Financial economics Financial system United States securities law
240	Notice of Filing of Proposed Rule Change to Add to and Amend its Rules Regarding the Obligations of Institutional Brokers Registered with the Exchange Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-01-19 11:17:35 Self-regulatory organizations Chicago Stock Exchange Investment Financial system Securities Exchange Act Floor broker Futures contract Broker Regulation NMS United States Securities and Exchange Commission Financial economics Financial markets

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