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Financial economics / Trade Reporting And Compliance Engine / Securities Exchange Act / Financial Industry Regulatory Authority / Self-regulatory organization / U.S. Securities and Exchange Commission / ACT / Security / Selling away / United States securities law / Financial regulation / Financial system


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Document Date: 2007-09-18 10:42:53

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File Size: 41,73 KB

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City

Options / Washington / DC / Credit Default Swaps / /

Company

Securities Dealers Inc. / Financial Industry Regulatory Authority Inc. / /

/

IndustryTerm

Internet Web site / Internet comment form / retail and non-professional investors / /

Organization

Division of Market Regulation / Assistant General Counsel / Securities Industry and Financial Markets Association / I. Self-Regulatory Organization / National Association of Securities Dealers / Securities and Exchange Commission / Self-Regulatory Organization / FINRA / /

Person

Mary Kuan / Nancy M. Morris / Florence E. Harmon / /

Position

Governor / Vice President / Secretary / Deputy Secretary / /

PublishedMedium

the TRACE / /

URL

http /

SocialTag