OMB APPROVAL OMB Number: Estimated average burden hours per response

First Page		Document Content
Date: 2015-03-20 17:10:56 United States securities law Self-regulatory organizations 73rd United States Congress U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities regulation in the United States Law Business Securities Exchange Act Economy Selling away Municipal Securities Rulemaking Board		OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Download Document from Source Website File Size: 143,15 KB Share Document on Facebook

	UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ----------------------------------------------------------x UNITED STATES SECURITIES AND : EXCHANGE COMMISSION, DocID: 1t6bI - View Document
	How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract DocID: 1rpew - View Document
	SR-FINRANotice of Filing and Immediate Effectiveness DocID: 1rngb - View Document
	United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued April 14, 2016 Decided June 14, 2016 DocID: 1rn4k - View Document
	COMPENSATION COMMITTEE CHARTER (updated as of JuneI. Purpose and Authority DocID: 1rmL5 - View Document