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

Self-regulatory organizations
Results: 6954

#	Item
1	How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract Add to Reading List Source URL: slcg.com Language: English - Date: 2016-06-02 16:19:24 Economy Finance Money Investment Financial services United States securities law Self-regulatory organizations Brokerage firm Financial Industry Regulatory Authority Stockbroker Yield spread premium
2	n Industry profile Rick McVey, MarketAxess Photos: Claudia Gannon “We’re evolving from a ‘client-to-multi-dealer’ e-trading venue to an ‘all-to-all’ approach that Add to Reading List Source URL: www.marketaxess.com Language: English - Date: 2014-09-30 16:40:26 Economy Finance Money Systemic risk Financial markets Self-regulatory organizations Swap Execution Facility Stock market Financial risk Electronic trading Single-dealer platform Commodity Futures Trading Commission
3	SR-FINRANotice of Filing and Immediate Effectiveness Add to Reading List Source URL: www.batsoptions.com Language: English - Date: 2011-04-30 09:58:53 United States securities law Self-regulatory organizations U.S. Securities and Exchange Commission Economy Financial Industry Regulatory Authority Law Securities Exchange Act Government Securities regulation in the United States
4	Microsoft Wordindex1.doc Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2016-06-15 10:59:39 Economy Financial regulation Finance Self-regulatory organizations Canadian law Canadian securities regulation Ontario Securities Commission Canadian Securities Administrators 73rd United States Congress U.S. Securities and Exchange Commission Securities regulation in the United States International Organization of Securities Commissions
5	JMB_Insurance_(4C)LogoReverse Add to Reading List Source URL: www.jmbins.com Language: English - Date: 2016-05-23 17:42:06 Economy Finance Money Self-regulatory organizations United States securities law Investment Insurance Securities Investor Protection Corporation Financial Industry Regulatory Authority Risk
6	Independent Accountants’ Report on Applying Agreed-Upon Procedures Related to An Entity’s Claim of Exclusion from Membership in SIPC To the Directors of ______________________________ Add to Reading List Source URL: www.sipc.org Language: English - Date: 2016-05-06 15:57:45 Economy Finance United States securities law Self-regulatory organizations Investment Securities Investor Protection Corporation Corporate crime U.S. Securities and Exchange Commission
7	CREDIT DERIVATIVES DETERMINATIONS COMMITTEES RULES (December 18, 2009 Version) 1. COMPOSITION OF CREDIT DERIVATIVES DETERMINATIONS COMMITTEES Add to Reading List Source URL: dc.isda.org Language: English - Date: 2016-07-12 15:36:25 Economy Self-regulatory organizations Money International Swaps and Derivatives Association Depository Trust & Clearing Corporation ISDA Master Agreement Electronic voting
8	Regulatory Considerations for SEC Registered Municipal Advisors By Matthew C. Boba A Add to Reading List Source URL: www.chapman.com Language: English - Date: 2016-07-28 12:30:08 Economy Finance Money Self-regulatory organizations Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Registered Investment Adviser Municipal bond Financial adviser DoddFrank Wall Street Reform and Consumer Protection Act Electronic Municipal Market Access Financial Industry Regulatory Authority
9	Microsoft Word - OKCoin_Announcement_6docx Add to Reading List Source URL: www.teraexchange.com Language: English - Date: 2016-06-28 10:05:56 Economy Finance Money Cryptocurrencies Alternative currencies Self-regulatory organizations Systemic risk Commodity Futures Trading Commission Bitcoin Swap Execution Facility Nadex Derivative
10	CREDIT DERIVATIVES DETERMINATIONS COMMITTEES RULES (July 11, 2011 Version) 1. COMPOSITION OF CREDIT DERIVATIVES DETERMINATIONS COMMITTEES Add to Reading List Source URL: dc.isda.org Language: English - Date: 2016-07-12 15:36:25 Self-regulatory organizations Economy International Swaps and Derivatives Association ISDA Master Agreement Depository Trust & Clearing Corporation Electronic voting

UPDATE