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171	DOC Document Add to Reading List Source URL: www.hkedc.icac.hk Language: English - Date: 2013-03-28 02:43:00 Applied ethics Securities and Futures Commission Business ethics Hong Kong Securities Institute Hong Kong Exchanges and Clearing Professional ethics Financial adviser Stock broker Emperor Capital Group Limited Financial economics Finance Business
172	VIA Electronic Submission February 24, 2015 Brent Fields Secretary Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-25 09:09:24 Finance OTC Bulletin Board Securities Exchange Act Market maker Order Security Broker-dealer Chicago Stock Exchange Secondary market Financial markets Financial economics Investment
173	Options Trading Rules CHAPTER 1 Add to Reading List Source URL: www.hkex.com.hk Language: English - Date: 2009-12-03 02:12:12 Stock market Finance Occupations Options broker Market maker Self-regulatory organizations Options Price Reporting Authority Financial economics Financial markets Investment
174	Errant Trade Submission Handling for Eris BlockBoxTM Trades In the event that a Trader or Broker enters a trade in Eris BlockBox incorrectly, Trading Firms can notify the Eris Control Center (ECC), which is empowered to Add to Reading List Source URL: www.erisfutures.com Language: English - Date: 2014-08-22 14:53:13 Futures contract Financial markets Stock market
175	Bloomberg STP LLC; Notice of Filing of Application for Exemption from Registration as a Clearing Agency Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-27 16:16:54 Financial markets Stock market Self-regulatory organizations Securities Depository Trust & Clearing Corporation Securities Exchange Act Security Broker-dealer Electronic trading Financial economics Financial system Finance
176	HOW TO CHECK OUT YOUR STOCKBROKER OR BROKERAGE FIRM Add to Reading List Source URL: www.ofi.louisiana.gov Language: English - Date: 2014-03-31 11:44:04 Self-regulatory organizations Stock market Financial Industry Regulatory Authority United States securities law Stock broker Financial adviser Financial economics Business Finance
177	otice of Filing of a Proposed Rule Change to Amend Rules 6.41 and 24.8 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-05 10:43:46 Finance Stock market Order Chicago Board Options Exchange Algorithmic trading Market maker Exchange-traded fund Floor broker Chicago Stock Exchange Financial markets Financial economics Investment
178	liquidnet,~ LIQUIDNET,INC 498 Seventh Avenue, 15" FL New York, NY[removed]July 8, 2013 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-09 13:23:01 Investment Stock market Financial services Financial regulation Short selling High-frequency trading Dark liquidity Broker-dealer Short Financial markets Financial economics Finance
179	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 11, 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-11 17:24:04 Finance Toms Stock Broker-dealer Security Securities Exchange Act Stock market Financial economics Investment
180	Investigate Before You Invest WOMEN Check out an individual or firm before you trust them to help you with your money. Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-08-21 21:46:39 Finance Financial adviser Investment U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Stock broker Office of the Kansas Securities Commissioner Registered Investment Advisor United States securities law Financial economics Business

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