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Floor broker
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#	Item
141	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]December 9, 2011 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-12 09:17:11 Financial system Options Clearing Corporation United States securities law Philadelphia Stock Exchange Securities Exchange Act Floor broker NASDAQ International Securities Exchange Economy of the United States Financial economics Self-regulatory organizations
142	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-11-17 16:56:53 Investment New York Stock Exchange NYSE Arca Securities Exchange Act Floor broker Broker-dealer Electronic trading Self-regulatory organization Financial markets Financial economics Financial system
143	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]July 17, 2008 Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-07-21 10:35:53 Finance United States securities law Philadelphia Stock Exchange Exchange-traded fund Securities Exchange Act Floor broker Financial economics Financial markets Investment
144	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CHX[removed]October 26, 2006 Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-10-30 12:47:53 Investment Finance Chicago Stock Exchange Stock market Securities Exchange Act Floor broker Electronic trading Market maker Consolidated Tape Association Financial markets Financial economics Self-regulatory organizations
145	SECURITIES AND EXHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-12-27 15:06:27 United States securities law Investment Chicago Board Options Exchange 73rd United States Congress Stock market Economy of the United States Securities Exchange Act Floor broker Order Financial economics United States Securities and Exchange Commission Financial markets
146	Microsoft Word[removed]for pdf.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-12-01 11:56:19 Financial system Stock market Financial services Chicago Board Options Exchange Floor broker Broker-dealer Market maker Order Securities Exchange Act Financial markets Financial economics Investment
147	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 8, 2012 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Deleting NYSE Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-11-09 11:24:04 Investment Stock market Financial regulation United States Securities and Exchange Commission Securities Exchange Act Floor broker Day trading Regulation NMS Short Financial economics Financial markets Finance
148	News Release Office of Financial Institutions Post Office Box 94095, [removed]United Plaza Boulevard, 2nd Floor, 70809 Baton Rouge, Louisiana[removed] Add to Reading List Source URL: www.ofi.state.la.us Language: English - Date: 2004-09-20 13:33:52 Louisiana Mortgage industry of the United States Geography of North America Mortgage broker New Orleans Geography of the United States
149	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Revising the Implementation Date for the ANTE System and Increased Floor Broker Functionality in the ANTE System; Rel. No[removed], File No. SR-Amex-2 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-08 12:09:26 Financial system United States securities law Self-regulatory organizations United States Securities and Exchange Commission Short selling Securities Exchange Act Floor broker U.S. Securities and Exchange Commission Short Financial markets Financial economics Finance
150	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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