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

Trade Reporting And Compliance Engine
Results: 112

#	Item
11	Disciplinary and Other FINRA Actions Reported for September 2008 Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:50:55 Finance Financial Industry Regulatory Authority World Group Securities Trade Reporting And Compliance Engine Securities research U.S. Securities and Exchange Commission Securities regulation in the United States Registered representative ACT United States securities law Financial economics Business
12	Disciplinary and Other FINRA Actions Firm Suspended, Individual Sanctioned Aura Financial Services, Inc (CRD® #42822, Birmingham, Alabama) and Timothy Michael Gautney (CRD #[removed], Registered Principal, Birmingham, Ala Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 16:04:41 Financial system Financial Industry Regulatory Authority Securities regulation in the United States Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Securities research Registered representative World Group Securities Municipal Securities Rulemaking Board United States securities law Business Financial economics
13	Disciplinary and Other FINRA Actions Firm Suspended, Individual Sanctioned Aura Financial Services, Inc (CRD® #42822, Birmingham, Alabama) and Timothy Michael Gautney (CRD #[removed], Registered Principal, Birmingham, Ala Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-06 23:17:30 Financial system Financial Industry Regulatory Authority Securities regulation in the United States Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Securities research Registered representative World Group Securities Municipal Securities Rulemaking Board United States securities law Business Financial economics
14	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 13, 2015 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-13 12:02:52 Finance Financial Industry Regulatory Authority Securities Exchange Act Broker-dealer Trade Reporting And Compliance Engine Self-regulatory organization Security Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
15	Press Release Interactive Data and FINRA Provide Transparency into Structured Securities Market New Report Designed to Increase Transparency into Structured Transactions Add to Reading List Source URL: www.interactivedata-prd.com Language: English - Date: 2015-01-09 17:30:19 Financial system Financial Industry Regulatory Authority Trade Reporting And Compliance Engine Interactive Data Corporation Securities regulation in the United States ACT Market data Selling away OTC Bulletin Board United States securities law Financial economics Finance
16	FINRA Proposes to Publicly Disseminate Transaction Information Regarding Rule 144A Corporate Debt Securities Add to Reading List Source URL: www.jdsupra.com Language: English Financial system Trade Reporting And Compliance Engine Financial Industry Regulatory Authority Rule 144A Securities Act U.S. Securities and Exchange Commission Security Settlement United States securities law Financial regulation Financial economics
17	FINRA Proposes to Publicly Disseminate Transaction Information Regarding Rule 144A Corporate Debt Securities Add to Reading List Source URL: documents.jdsupra.com Language: English - Date: 2013-07-18 12:13:50 Financial system Trade Reporting And Compliance Engine Financial Industry Regulatory Authority Rule 144A Securities Act U.S. Securities and Exchange Commission Security Settlement United States securities law Financial regulation Financial economics
18	RTF Document Add to Reading List Source URL: www.jdsupra.com Language: English Financial system Trade Reporting And Compliance Engine Financial Industry Regulatory Authority Rule 144A Securities Act U.S. Securities and Exchange Commission Security Settlement United States securities law Financial regulation Financial economics
19	Trade Reporting Notice[removed] Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-08-01 15:08:05 Securities Business Trade Reporting And Compliance Engine Financial Industry Regulatory Authority Securities Exchange Act Security Broker-dealer Settlement Asset-backed security Financial economics Finance United States securities law
20	SR-FINRA[removed]Text of proposed rule change Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-08-01 09:58:27 Investment Financial regulation Alternative display facility 73rd United States Congress United States Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Trade Reporting And Compliance Engine United States securities law Stock market Financial economics