Trade Reporting And Compliance Engine - PDFSEARCH.IO - Document Search Engine

Trade Reporting And Compliance Engine
Results: 112

#	Item
21	CSA Notice and Request for Comment Proposed Amendments to National Instrument[removed]Marketplace Operation and National Instrument[removed]Trading Rules April 24, 2014 Introduction The Canadian Securities Administrators ( Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-04-24 11:38:18 Financial system Self-regulatory organizations 73rd United States Congress United States Securities and Exchange Commission Securities Canadian securities regulation Security Alternative Trading Systems Trade Reporting And Compliance Engine United States securities law Financial economics Financial regulation
22	Comment Letter to FINRA from SEC Office of Investor Advocate Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-21 10:29:15 Financial system Business Financial regulation Short selling Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Trade Reporting And Compliance Engine United States securities law Financial economics Self-regulatory organizations
23	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File Nos. SR-FINRA[removed]January 27, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving the Proposed Rule Chan Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-28 08:18:38 Alternative display facility Financial economics Financial Industry Regulatory Authority Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Securities Exchange Act ACT United States securities law Economy of the United States Financial regulation
24	Page 20 of 22 EXHIBIT 5 Below is the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. *** Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-08 09:02:02** Financial Industry Regulatory Authority Trade Reporting And Compliance Engine Principal Private law United States securities law Business Law
25	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]December 5, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Cha Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-08 09:02:02 Financial Industry Regulatory Authority Economy of the United States ACT Business U.S. Securities and Exchange Commission Securities Exchange Act Trade Reporting And Compliance Engine Selling away United States securities law Self-regulatory organizations Financial regulation
26	Page 17 of 19 EXHIBIT 5 Below is the text of the proposed rule change. Proposed new language appears underlined; proposed deletions appear in brackets. *** 7000. CLEARING, TRANSACTION AND ORDER DATA REQUIREMENTS, Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-10 08:04:50** OTC Bulletin Board Fee Business Economy of the United States Law United States securities law Financial Industry Regulatory Authority Trade Reporting And Compliance Engine
27	SECURITIES AND EXCHANGE COMMISSION (Release No[removed] ; File No. SR-FINRA[removed]October 9, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiv Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-10 08:04:49 Trade Reporting And Compliance Engine Business Economy of the United States Securities Exchange Act U.S. Securities and Exchange Commission United States securities law Financial regulation Financial Industry Regulatory Authority
28	Microsoft Word - NASD SRO Testimony.doc Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Finance Self-regulatory organization Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States NASDAQ Registered representative Trade Reporting And Compliance Engine Financial regulation United States securities law Financial system Financial economics
29	Bond Market Association on SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-07 13:26:26 Year of birth missing Financial system Self-regulatory organizations Financial Industry Regulatory Authority Trade Reporting And Compliance Engine Security U.S. Securities and Exchange Commission Douglas Shulman Mary Schapiro United States securities law Finance Financial economics
30	National Association of Securities Dealers, Inc. on SR-NASD[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-16 19:24:52 73rd United States Congress Securities Exchange Act Trade Reporting And Compliance Engine Financial system U.S. Securities and Exchange Commission Rule 144A Financial economics United States securities law United States Securities and Exchange Commission Financial regulation

UPDATE