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Stock brokers
Results: 202

#	Item
171	S[removed]H.R[removed]M&A Brokers - Highlights and History[removed]docx Add to Reading List Source URL: amaaonline-public.sharepoint.com Language: English - Date: 2014-02-19 14:48:54 Financial services Financial markets United States securities law Business broker U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Warner Norcross & Judd Broker-dealer Stock broker Business Financial economics Finance
172	Regulation & Compliance Meanwhile, risk mitigation rules require brokers and market makers to measure, monitor and mitigate operational risk Add to Reading List Source URL: www.regis-tr.com Language: English - Date: 2014-07-03 02:32:47 Financial markets Stock market Financial services Trade Repository Derivative Over-the-counter Contract for difference ACT Clearing house Financial economics Financial system Finance
173	PDF Document Add to Reading List Source URL: www.proequityam.com Language: English - Date: 2014-03-17 23:15:44 Sacramento metropolitan area Roseville California Roseville Minnesota Geography of the United States Geography of California Real estate brokers CBRE Group Companies listed on the New York Stock Exchange
174	54 of 66 EXHIBIT 5 Note: Proposed new language is underlined. Proposed deletions are enclosed in brackets Rule G-8: Books and Records to Be Made by Brokers, Dealers and Municipal Securities Dealers (a) Description of Boo Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-11-05 10:23:07 Finance Stock market United States securities law 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act Electronic Municipal Market Access Underwriting Municipal Securities Rulemaking Board Financial economics Securities Investment
175	Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Implement a Clearing Submission Fee Credit for Institutional Brokers Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-02-15 12:40:02 Economy of the United States Securities Exchange Act Futures contract Financial system U.S. Securities and Exchange Commission ACT Self-regulatory organizations Chicago Stock Exchange Financial economics
176	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Price List to Waive Certain Fees for Floor Brokers for November and December 2012 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-28 06:13:10 Financial system Finance Securities Exchange Act United States Securities and Exchange Commission United States securities law New York Stock Exchange Floor broker U.S. Securities and Exchange Commission Short Financial markets Financial regulation Financial economics
177	Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participation Guarantees for Floor Brokers Representing Crossing and Facilitation Orders; Rel. No[removed], File No. SR-Phlx[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-08-03 17:06:38 Finance Floor broker Order Securities Exchange Act Philadelphia Stock Exchange Short Chicago Board Options Exchange Financial markets Financial economics Investment
178	Notice of Filing of Proposed Rule Change to Add to and Amend its Rules Regarding the Obligations of Institutional Brokers Registered with the Exchange Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-01-19 11:17:35 Self-regulatory organizations Chicago Stock Exchange Investment Financial system Securities Exchange Act Floor broker Futures contract Broker Regulation NMS United States Securities and Exchange Commission Financial economics Financial markets
179	Order Approving Proposed Rule Change Relating to Remote Floor Brokers; Rel. No[removed], File No. SR-BSE[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-04-28 10:34:58 United States securities law Financial economics Financial system Floor broker Securities regulation in the United States Securities and Exchange Commission Boston Stock Exchange Self-regulatory organization Finance 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission
180	Illinois Food Brokers Company Name: Acosta Sales & Marketing Address 665 W. North Ave., Suite #300 Email Add to Reading List Source URL: agr.state.il.us Language: English - Date: 2011-12-01 12:54:11 Grocery store Retail Merchandising Business Skaggs family Companies listed on the New York Stock Exchange SuperValu Retailing Convenience store Marketing

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