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211	Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend FINRA Rule[removed]Customer Account Information) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-06 12:10:08 Financial system Financial Industry Regulatory Authority Securities Exchange Act Registered representative U.S. Securities and Exchange Commission Self-regulatory organization Financial adviser Registered Investment Advisor Selling away United States securities law Financial economics Business
212	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-06-03 09:43:21 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Self-regulatory organization Selling away Mary Schapiro United States securities law Financial economics Financial system
213	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]November 20, 2007 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effecti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-23 11:37:54 Securities Exchange Act Financial system Business U.S. Securities and Exchange Commission Self-regulatory organization Selling away Securities regulation in the United States United States securities law Financial regulation Financial Industry Regulatory Authority
214	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-03 15:40:25 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Broker-dealer ACT Selling away Investment Banking Exam United States securities law Financial economics Financial system
215	Order Granting Approval of Proposed Rule Change to Adopt FINRA Rule[removed]Forwarding of Proxy and Other Issuer-Related Materials) in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-11-25 12:42:12 Financial Industry Regulatory Authority Financial system Securities Exchange Act Business U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Self-regulatory organizations Financial regulation
216	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-03 14:45:14 United States Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Securities Act Selling away Investment Banking Exam United States securities law Financial regulation Financial system
217	[START PAGE NUMBERING FOR THIS DOCUMENT CONSECUTIVELY FOLLOWING THE LAST PAGE NUMBER OF THE 19B-4 INFORMATION DOCUMENT] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-08 10:31:24 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Selling away Securities regulation in the United States United States securities law Financial economics Financial system
218	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-08 10:26:57 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Broker-dealer Selling away Mary Schapiro United States securities law Financial economics Financial system
219	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-12 13:04:03 Financial regulation Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission General Securities Principal Exam New York Stock Exchange NYSE Euronext Selling away United States securities law Economy of the United States Financial system
220	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]January 25, 2010 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-27 09:35:26 Financial system Securities Exchange Act Business U.S. Securities and Exchange Commission Self-regulatory organization Selling away Securities regulation in the United States United States securities law Financial regulation Financial Industry Regulatory Authority

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