Self-regulatory organization - PDFSEARCH.IO - Document Search Engine

Self-regulatory organization
Results: 1339

#	Item
131	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Warren Funt Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-02-06 12:06:04 Investment Industry Regulatory Organization of Canada Financial economics Financial system Business Self-regulatory organizations Securities Financial regulation
132	Enforcement Notice Decision[removed]For further information, please contact: Enforcement Contact: Carmen Crépin Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-02-02 16:06:04 Investment Industry Regulatory Organization of Canada Business Securities Self-regulatory organizations Financial regulation
133	Patrice Gliniecki Direct: ([removed]Senior Vice President Fax: ([removed]and Deputy General Counsel September 30, 2004 Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-09 11:47:51 Financial regulation Financial economics Financial system Stock market Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Self-regulatory organization Securities Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
134	FRSB COMPLAINTS FORM ABOUT US The Fundraising Standards Board is a not for profit organisation that runs the self regulatory scheme for fundraising in the UK. We were set up in 2006 and currently have over 1400 members w Add to Reading List Source URL: www.frsb.org.uk Language: English - Date: 2013-12-24 13:22:59 Structure Charitable organization Fundraising Nonprofit organization
135	For Immediate Release Outlook for Canadian and Global Capital Markets in 2015: Optimism has Returned According to Canada’s Investment Dealer CEOs More than two-thirds of CEOs are predicting higher firm profitability T Add to Reading List Source URL: iiac.ca Language: English - Date: 2015-01-08 10:39:15 Self-regulatory organizations Canadian law Canadian securities regulation Investment Industry Regulatory Organization of Canada Financial adviser Business Financial economics Finance Investment
136	2007 Annual Report securities investor protection corporation SE CU RIT IE S INV ES T O R PR O T EC T I O N C O R PO R AT I O N Add to Reading List Source URL: sipc.org Language: English - Date: 2010-03-25 13:09:32 Securities Investor Protection Corporation Securities Investor Protection Act Financial regulation Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission David Nason Securities Exchange Act Self-regulatory organization Financial economics United States securities law Investment
137	II. Outline The SESC conducts daily market surveillance, inspections of financial instruments firms, investigation of market misconduct, disclosure statements inspections and criminal investigations of securities fraud. Add to Reading List Source URL: www.fsa.go.jp Language: English - Date: 2013-02-12 03:15:57 Financial system Business Finance U.S. Securities and Exchange Commission Financial regulation Self-regulatory organization Securities and Exchange Surveillance Commission
138	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-BYX[removed]January 22, 2015 Self-Regulatory Organization; BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-01-22 16:04:02 Regulation NMS Beta Upsilon Chi Securities Exchange Act U.S. Securities and Exchange Commission Financial regulation Government United States United States Securities and Exchange Commission United States securities law 73rd United States Congress
139	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 2, 2015 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-02 16:48:17 Financial regulation Financial system Business Financial Industry Regulatory Authority OTC Bulletin Board U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
140	For further information, please contact: June Yee Manager, Corporate Communications[removed]removed] Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2015-01-27 10:56:05 Securities Financial economics Regulatory compliance Financial system Business Investment Finance Self-regulatory organizations Financial regulation Investment Industry Regulatory Organization of Canada

UPDATE