Floor broker - PDFSEARCH.IO - Document Search Engine

Floor broker
Results: 216

#	Item
191	SR-EDGX[removed]Page 37 of 42 EXHIBIT 5 Proposed new language is underlined; proposed deletions are in [brackets]. CHAPTER XII. TRADING PRACTICE RULES *** Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-27 09:00:12** Financial markets Finance Order Short Futures contract Regulation NMS Floor broker Financial economics Stock market Investment
192	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-CBOE[removed]May 22, 2014 Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change to Enh Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-23 07:59:49 Investment Financial markets United States Securities and Exchange Commission Chicago Board Options Exchange Securities Exchange Act Floor broker U.S. Securities and Exchange Commission Order Chicago Stock Exchange Financial economics Stock market Economy of the United States
193	Commission Opinion: David M. Levine and Triple J Partners, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-11-10 10:10:17 Finance Floor broker Broker-dealer TriBeCa New York Stock Exchange Securities Exchange Act Short Financial markets Financial economics Financial system
194	14 of 195 EXHIBIT 5 Text of the Proposed Rule Change: 1 Rules of NYSE Alternext US LLC *** Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-02-27 11:18:22** Securities Exchange Act United States Securities and Exchange Commission Investment New York Stock Exchange Floor broker Open outcry Financial system London Stock Exchange United States securities law Financial economics 73rd United States Congress
195	Appeals Court Decision: Edward John McCarthy v. SEC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-10 15:33:20 Finance Securities Exchange Act Floor broker New York Stock Exchange STAMP U.S. Securities and Exchange Commission Floor trader Financial markets Financial economics Financial system
196	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]May 9, 2014 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-12 09:44:57 Financial economics Financial markets 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission United States Philadelphia Stock Exchange U.S. Securities and Exchange Commission Floor broker Economy of the United States United States securities law Self-regulatory organizations
197	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]May 12, 2014 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Re Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-13 09:01:38 Stock market Finance NASDAQ Philadelphia Stock Exchange Open outcry Securities Exchange Act Order Broker-dealer Floor broker Financial economics Financial markets Investment
198	C:kfilesigationnions48707.wpd Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-10-28 10:58:27 Finance Stock market Financial regulation Short selling Floor broker New York Stock Exchange Day trading Securities Exchange Act Short Financial markets Financial economics Investment
199	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEMKT[removed]April 25, 2014 Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amen Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-28 10:23:43 Financial system United States securities law United States Securities and Exchange Commission Financial regulation Short selling Securities Exchange Act Chicago Board Options Exchange Short Floor broker Financial markets Financial economics Finance
200	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-Phlx[removed]May 7, 2014 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Related to the Priority Afforde Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-08 10:27:10 Investment Finance Order Floor broker Open outcry Market maker Chicago Board Options Exchange Broker-dealer Financial markets Financial economics Stock market

UPDATE