Self-regulatory organization

Results: 1339



#Item
141Securities Exchange Act / Financial regulation / U.S. Securities and Exchange Commission / Direct Edge / Self-regulatory organization / Economy of the United States / Financial system / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-EDGX[removed]February 11, 2015 Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Ch

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Source URL: www.sec.gov

Language: English - Date: 2015-02-12 08:55:16
142Business / Financial economics / Securities Exchange Act / U.S. Securities and Exchange Commission / ACT / Security / Self-regulatory organization / OTC Bulletin Board / United States securities law / Financial Industry Regulatory Authority / Financial regulation

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]February 11, 2015 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effecti

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Source URL: www.sec.gov

Language: English - Date: 2015-02-12 08:50:26
143Financial markets / United States securities law / Self-regulatory organizations / Securities Exchange Act / United States Securities and Exchange Commission / Chicago Stock Exchange / Financial Industry Regulatory Authority / Algorithmic trading / Stock market / Financial economics / Finance / Financial system

Notice of Filing and Immediate Effectiveness of Amendment No. 31 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasda

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Source URL: www.utpplan.com

Language: English - Date: 2014-10-02 15:26:38
144Financial system / Corporate crime / U.S. Securities and Exchange Commission / Securities Exchange Act / Securities and Exchange Commission / Securities regulation in the United States / Municipal Securities Rulemaking Board / Self-regulatory organization / Security / United States securities law / Government / Financial regulation

SEC-36 SYSTEM NAME: Administrative Proceeding Files. SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street, NE, Washington, DC[removed]CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:

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Source URL: www.sec.gov

Language: English - Date: 2015-02-05 12:48:51
145Securities Exchange Act / Financial regulation / U.S. Securities and Exchange Commission / Direct Edge / Self-regulatory organization / Economy of the United States / Financial system / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-EDGA[removed]February 11, 2015 Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Ch

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Source URL: www.sec.gov

Language: English - Date: 2015-02-12 08:53:10
146Finance / Financial Industry Regulatory Authority / Securities Exchange Act / Broker-dealer / Trade Reporting And Compliance Engine / Self-regulatory organization / Security / Registered representative / General Securities Representative Exam / United States securities law / Financial economics / Financial system

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 13, 2015 Admin. Proc. File No[removed]In the Matter of the Application of

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Source URL: www.sec.gov

Language: English - Date: 2015-02-13 12:02:52
147Self-regulatory organizations / Business / Canadian law / Canadian securities regulation / Investment Industry Regulatory Organization of Canada / Financial adviser / Regulatory risk differentiation / Regulatory compliance / Financial economics / Investment / Finance

Keynote Address – IIROC’s Regulatory Agenda

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Source URL: www.iiroc.ca

Language: English - Date: 2015-01-29 14:11:04
148Regulation 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

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)

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Source URL: www.sec.gov

Language: English - Date: 2015-01-22 16:04:02
149Finance / Financial Industry Regulatory Authority / Securities regulation in the United States / U.S. Securities and Exchange Commission / Securities Exchange Act / Self-regulatory organization / Security / Broker-dealer / United States securities law / Financial economics / Financial system

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 5, 2015 Admin. Proc. File No[removed]

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Source URL: www.sec.gov

Language: English - Date: 2015-02-05 16:58:16
150Autorité des marchés financiers / Self-regulatory organization / British Columbia Securities Commission / Ontario Securities Commission / Securities Commission / Provinces and territories of Canada / 73rd United States Congress / United States Securities and Exchange Commission / Canadian securities regulation / United States securities law / Government / Financial regulation

Microsoft Word - FORM 33-109F3.docx

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Source URL: www.osc.gov.on.ca

Language: English - Date: 2012-08-26 21:20:28
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