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Financial market participants
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211	Exhibit 5 New text is underlined; deleted text is in brackets. *** Chapter XV Options Pricing NASDAQ Options Market Participants may be subject to the Charges for Membership, Services and Equipment in the Rule 7000 Ser Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-12 08:08:15** Market liquidity Business Economics Financial markets Market maker Rebate
212	Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Notify Participants That The Mortgage Backed Securities Division Intends To Move The Time At Which It Runs Its Daily Morning Pass Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-03-09 12:19:20 United States securities law 73rd United States Congress United States Securities and Exchange Commission Securities Stock market Securities Exchange Act First Issues Collectors Club U.S. Securities and Exchange Commission Securities Industry and Financial Markets Association Financial economics Investment Financial system
213	Order Approving Proposed Rule Change to Amend Chapter IV of the BOX Rules to Allow Executing Participants to Provide BOX a List of the Order Flow Providers for which the Executing Participants will provide Directed Order Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-03-18 16:58:19 Finance Stock market United States Securities and Exchange Commission United States securities law Short selling Securities Exchange Act Market maker Order Payment for order flow Financial economics Financial markets Investment
214	Billing Code: 4810-AM-P BUREAU OF CONSUMER FINANCIAL PROTECTION 12 CFR Part[removed]Docket No. CFPB[removed]RIN: 3170-AA30 Defining Larger Participants of the Consumer Debt Collection Market Add to Reading List Source URL: files.consumerfinance.gov Language: English - Date: 2012-10-23 11:54:03 United States federal banking legislation Credit Finance Fair Debt Collection Practices Act Financial services Bankruptcy in the United States Dodd–Frank Wall Street Reform and Consumer Protection Act Collection agency Consumer protection Financial economics Debt collection Economics
215	Meeting between Federal Reserve Staff and Representatives of OCC June 22, 2011 Participants: Jeff Stehm, Stuart Sperry, Jeff Walker, Stu Desch, Lyle Kumasaka, Kirstin Wells, Mark Magro, and Mark Haley (Federal Reserve Bo Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2012-12-03 13:01:04 Federal Reserve Bank Market liquidity Federal Reserve Board of Governors Banking Financial economics Finance Investment Monetary policy Federal Reserve Financial markets Federal Reserve System
216	Meeting between Federal Reserve Staff and Representatives of CLS June 15,2011 Participants: Jeff Stehm, Stu Desch, Edward Kocis, Danielle Little, Lyle Kumasaka, Mark Magro, and Mark Haley (Federal Reserve Board); Stephan Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2012-12-03 13:01:02 Federal Reserve System Federal Reserve Bank Central bank Federal Reserve Board of Governors Banking Financial economics Finance Monetary policy Investment Federal Reserve Financial markets Market liquidity
217	Regulation of Securities Markets The Division of Market Regulation oversees the operations of the nation’s securities markets and market participants. In 2000, the SEC supervised approximately 7,900 registered broker-d Add to Reading List Source URL: www.sec.gov Language: English - Date: 2001-08-13 15:07:44 United States Securities and Exchange Commission United States securities law Financial regulation Stock market 73rd United States Congress Securities Exchange Act Securities market Commodity Futures Modernization Act Commodity Futures Trading Commission Financial economics Financial system Finance
218	Proposed Rule: Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Capital Rule for Certain Security-Based Swap Dealers Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-04-25 16:07:50 United States Securities and Exchange Commission United States securities law Systemic risk Broker-dealer Fixed income market Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Securities Exchange Act Commodity Futures Trading Commission Financial regulation Financial economics Finance
219	Meeting Between Federal Reserve Bank of New York (FRBNY) Staff and Representatives of the Foreign Exchange Committee & Operations Managers Working Group May 10, 2012 Participants: Patricia Mosser, Michael Nelson, Anna No Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2012-12-03 13:00:59 Financial economics Investment banks Tax evasion UBS Foreign Exchange Committee Merrill Lynch Bank of America Barclays Foreign exchange market Primary dealers Investment Financial services
220	Meeting Between Staff of Federal Reserve Board and Representatives of the ISDA February 11,2012 Participants: Sean Campbell, Anna Harrington, Jeremy Newell, Chris Paridon, and Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2012-12-03 13:02:30 Financial markets International Swaps and Derivatives Association Derivative Futures contract Mark-to-market accounting Over-the-counter Credit default swap Swap Margin Financial economics Finance Investment

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