Self-regulatory organization

Results: 1339



#Item
41United States Securities and Exchange Commission / U.S. Securities and Exchange Commission / New York Stock Exchange / Self-regulatory organization / Business / Economy of the United States / United States / Chicago Stock Exchange / United States securities law / 73rd United States Congress / Securities Exchange Act

Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC.

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Source URL: www.sec.gov

Language: English - Date: 2015-04-20 15:34:46
42Finance / United States Securities and Exchange Commission / United States securities law / Financial regulation / Stock market / Securities Exchange Act / Securities regulation in the United States / U.S. Securities and Exchange Commission / Self-regulatory organization / Financial economics / Financial markets / Financial system

Proposed Rule: Exemption for Certain Exchange Members

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Source URL: www.sec.gov.

Language: English - Date: 2015-03-31 08:42:36
43Financial system / Financial Industry Regulatory Authority / Securities Exchange Act / Securities regulation in the United States / U.S. Securities and Exchange Commission / Registered representative / Self-regulatory organization / Selling away / Registered Investment Advisor / United States securities law / Business / Financial regulation

SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-BYXApril 16, 2015 Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Chan

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Source URL: www.sec.gov

Language: English - Date: 2015-04-16 13:53:08
44Business / Finance / Self-regulatory organizations / Chartered Financial Analyst / Professional certification in finance / International Organization of Securities Commissions / CFA Institute / Securities Investor Protection Corporation / Financial Industry Regulatory Authority / Financial planning / Investment / Financial economics

Hello, my name is Bob Stammers and I am a CFA charterholder and the director of investor education at CFA Institute It has become tradition at the IFIE-IOSCO Global Conference to recognize the generosity of the sponsorin

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Source URL: www.ifie.org

Language: English - Date: 2012-07-03 10:22:44
45Systems biology / Bioinformatics / Gene expression / Gene regulatory network / Knowledge / Boolean network / Complex network / Artificial neuron / Self-organization / Networks / Science / Biology

J. R. Soc. Interface, S85–S94 doi:rsiffocus Published online 28 May 2008 REVIEW

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Source URL: www.itp.uni-bremen.de

Language: English - Date: 2011-08-10 05:51:03
46U.S. Securities and Exchange Commission / Self-regulatory organization / Business / Financial system / Financial economics / Philippine Government Securities / Financial regulation / Security / Stock market

TREASURY CIRCULAR NO4October 2013 Guidelines on the Recognition of Government Securities Brokers and Sponsorship of RoSSPrincipal Securities Accounts I.

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Source URL: www.treasury.gov.ph

Language: English - Date: 2014-03-21 05:05:55
47Communication design / Graphic design / International Chamber of Commerce / Self-regulatory organization / Direct marketing / Advertising to children / Business / Marketing / Advertising

Alliancelogoref.whitevect [Converted]

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Source URL: www.ort.hu

Language: English - Date: 2012-09-13 04:09:03
48United States securities law / Self-regulatory organization / Economy of New South Wales / Financial system / Honda NSX / Private transport / Economy of the United States / 73rd United States Congress / Securities Exchange Act / United States Securities and Exchange Commission

Page 15 of 15 EXHIBIT 5 (additions are underlined; deletions are [bracketed]) ***** Chicago Board Options Exchange, Incorporated Rules

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Source URL: www.sec.gov

Language: English - Date: 2015-04-06 16:43:09
49Financial economics / Self-regulatory organizations / Corporate crime / U.S. Securities and Exchange Commission / Investor education / International Organization of Securities Commissions / Securities regulation in the United States / Financial Industry Regulatory Authority / Securities and Exchange Commission / Economics / United States securities law / Business

Office of Investor Education and AdvocacyPlanning Document

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Source URL: www.ifie.org

Language: English - Date: 2012-07-06 08:24:05
50Finance / Financial Industry Regulatory Authority / Securities Exchange Act / Registered representative / Securities regulation in the United States / Self-regulatory organization / Financial adviser / Broker-dealer / Registered Investment Advisor / United States securities law / Financial economics / Financial system

Regulatory Notice 11-19 Books and Records

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Source URL: www.finra.org

Language: English - Date: 2015-01-07 09:38:16
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