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261	Order Approving Proposed Rule Change to Remove the Exemption From the Trading Activity Fee for Transactions in Exchange Listed Options Effected by a Member When FINRA is not the Designated Options Examining Authority for Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-29 12:45:30 Business Financial Industry Regulatory Authority Financial system Securities Exchange Act U.S. Securities and Exchange Commission Municipal Securities Rulemaking Board Security Selling away Registered Investment Advisor United States securities law Self-regulatory organizations Financial regulation
262	Lewis Roca Rothgerber LLP 90 South Cascade Avenue, Suite 1100 Colorado Springs, CO[removed]William D. Nelson (T[removed]F[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-11 16:00:41 Legal terms Arbitration Arbitral tribunal Arbitration in the United States Selling away Law Financial Industry Regulatory Authority United States securities law
263	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]April 4, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectivene Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-07 09:04:59 Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Financial system Economy of the United States Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
264	Notice of Filing of Proposed Rule Change to Adopt FINRA Rule[removed]Reporting Requirements) in the Consolidated FINRA Rulebook Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-03 15:53:26 Finance Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Registered Investment Advisor Selling away United States securities law Financial economics Financial system
265	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]September 21, 2007 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effect Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-26 14:34:45 Financial Industry Regulatory Authority Securities Exchange Act Financial economics ACT Self-regulatory organization U.S. Securities and Exchange Commission NASDAQ Trade Reporting And Compliance Engine Selling away United States securities law Economy of the United States Financial regulation
266	Notice of Filing of Proposed Rule Change to Adopt FINRA Rules[removed]Communications with the Public), 2212 (Use of Investment Companies Rankings in Retail Communications), 2213 (Requirements for the Use of Bond Mutual Fun Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-01 09:28:47 Business Financial Industry Regulatory Authority Securities Exchange Act Registered Investment Advisor Self-regulatory organization Securities research U.S. Securities and Exchange Commission Security Selling away United States securities law Financial economics Financial system
267	Order Approving Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consoli Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-02-04 12:14:55 Financial system Business Securities Exchange Act Self-regulatory organization Securities regulation in the United States U.S. Securities and Exchange Commission Selling away Trade Reporting And Compliance Engine United States securities law Financial Industry Regulatory Authority Financial regulation
268	Microsoft Word[removed]docx Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-27 11:51:22 Financial system Economy of the United States U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Securities Act OTC Bulletin Board Selling away United States securities law Financial regulation Financial Industry Regulatory Authority
269	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Operational Date of SR-FINRA[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-02 14:47:43 Financial economics Financial Industry Regulatory Authority Securities Exchange Act Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Asset-backed security ACT Selling away Securities regulation in the United States United States securities law Financial regulation Finance
270	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Certain Cross-References within Certain FINRA Rules Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-04 15:56:58 Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Financial system Economy of the United States Selling away United States securities law Financial Industry Regulatory Authority Financial regulation

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