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Commodity Exchange Authority
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31	PDF Document Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-06-23 15:22:24 Finance Commodity pool Commodity broker Commodity Futures Trading Commission Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Futures contract Commodities market Financial economics Financial system
32	Comment Letter on File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-07-08 13:58:35 Investment Mary Schapiro Gary Gensler BATS Global Markets Financial Industry Regulatory Authority New York Stock Exchange U.S. Securities and Exchange Commission NASDAQ Futures contract Economy of the United States Commodity Futures Trading Commission Financial economics
33	Microsoft Word - SFP Reference Guide.docx Add to Reading List Source URL: www.nfa.futures.org Language: English - Date: 2010-05-12 11:26:33 Self-regulatory organizations Financial economics New Deal Securities Act United States Securities and Exchange Commission Commodity Futures Trading Commission Futures contract Financial system Financial Industry Regulatory Authority United States securities law Financial regulation 73rd United States Congress
34	Microsoft Word - LEGALDOCS-#[removed]v5-FMLG__comment_letter_to_FINRA_re__Rul… Add to Reading List Source URL: www.ny.frb.org Language: English - Date: 2009-03-05 13:05:44 Financial system Finance Financial markets Financial services Foreign exchange market Financial Industry Regulatory Authority Broker-dealer Securities Exchange Act Commodity Futures Modernization Act Foreign exchange companies Financial economics United States securities law
35	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-06-30 09:43:32 Financial markets Self-regulatory organizations Financial services Foreign exchange companies Financial Industry Regulatory Authority United States securities law Foreign exchange market Broker-dealer Commodity Futures Trading Commission Financial economics Finance Financial system
36	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-01 10:24:54 Financial system Financial markets 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act NASDAQ Commodity Futures Trading Commission U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial economics United States securities law Finance
37	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-24 08:54:31 Financial system Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission General Securities Representative Exam Commodity Futures Trading Commission Self-regulatory organization Security Registered Investment Advisor United States securities law Financial regulation Business
38	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 19, 2012 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effecti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-20 12:37:43 Business Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Registered representative General Securities Representative Exam Commodity Futures Trading Commission Self-regulatory organization Selling away United States securities law Financial regulation Financial system
39	Notice of Filing of Proposed Rule Change as modified by Amendment No. 2 to Adopt FINRA Rule 2380 to Limit the Leverage Ratio Offered by Broker-Dealers for Certain Forex Transactions Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-02 16:00:08 United States securities law Self-regulatory organizations Financial Industry Regulatory Authority Broker-dealer Commodity Futures Modernization Act Commodity Futures Trading Commission Securities Exchange Act U.S. Securities and Exchange Commission Thinkorswim Financial economics Financial system Finance
40	Microsoft Word[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-04 09:38:31 Financial regulation Financial system Financial Industry Regulatory Authority Securities Exchange Act Security Futures contract U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Commodity Futures Trading Commission Self-regulatory organizations United States securities law Financial economics

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