Stock exchanges -- United States
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Stock exchanges -- United States
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- 2000 AMEX rule archives
- 2000 NASD rule archives
- 2000 NYSE rule archives
- 2001 AMEX rule archives
- 2001 NASD rule archives
- 2001 NYSE rule archives
- 2002 AMEX rule archives
- 2002 NASD rule archives
- 2002 NYSE rule archives
- 2003 AMEX rule archives
- 2003 NASD rule archives
- 2003 NYSE rule archives
- 2004 AMEX rule archives
- 2004 NASD rule archives
- 2004 NYSE rule archives
- 2005 AMEX rule archives
- 2005 NASD rule archives
- 2005 NYSE rule archives
- 2006 AMEX rule archives
- 2006 NASD rule archives
- 2006 NYSE rule archives
- 2007 AMEX rule archives
- 2007 NASD rule archives
- 2007 NYSE rule archives
- 2008 AMEX rule archives
- 2008 NASD rule archives
- 2008 NYSE rule archives
- 2009 AMEX rule archives
- 2009 FINRA rule archives
- 2009 NYSE rule archives
- 2010 AMEX rule archives
- 2010 FINRA rule archives
- 2010 NYSE rule archives
- 2011 AMEX rule archives
- 2011 FINRA rule archives
- 2011 NYSE rule archives
- 2012 AMEX rule archives
- 2012 FINRA rule archives
- 2012 NYSE rule archives
- 2013 FINRA rule archives
- 2013 MKT rule archives
- 2013 NYSE rule archives
- 2014 FINRA rule archives
- 2014 MKT rule archives
- 2014 NYSE rule archives
- 2015 FINRA rule archives
- 2015 MKT rule archives
- 2015 NYSE rule archives
- 2016 FINRA rule archives
- 2016 MKT rule archives
- 2016 NYSE rule archives
- A global view : examining cross-border exchange mergers : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session ... Thursday, July 12, 2007
- A global view : examining cross-border exchange mergers : hearing before the Subcommittee on Securities and Insurance and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, first session, on current trends in capital markets and exchanges, including mergers and acquisitions, and precipitating factors; and the impact such changes have on regulation, market participants, and investors, Thursday, July 12, 2007
- A review of self-regulatory organizations in the securities markets : hearings before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, second session, on the examination of self-regulatory organizations in the securities markets, focusing on strengths and weaknesses of the current system, conflicts of interest, and eliminating excessive market data fees, March 9, 2006
- After the trade is made : processing securities transactions
- Amendments to Securities act of 1933 (exemptions). : Hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-fourth Congress, on H.R. 5701, a bill to repeal subsection (b) of section 3 of the Securities act of 1933, which authorizes the Securities and Exchange Commission to provide for exemptions in the case of certain classes of securities ... Promotional securities ... H.R. 9319, a bill to amend subsection (b) of section 3 of the Securities act of 1933, to provide that responsible officers or other persons shall be liable in damages on account of untrue statements or material omissions in statements or documents filed under such subsection as a condition of exemption
- An executive order addressing the threat from securities investments that finance communist Chinese military companies : communication from the President of the United States, transmitting an executive order addressing the threat from securities investments that finance communist Chinese military companies, pursuant to 50 U.S.C. 1703(b); Public law 95-223, Sec. 204(b); (91 Stat. 1627) and 50 U.S.C. 1621(a); Public law 94-412, Sec. 201(a); (90 Stat. 1255)
- Analyzing the analysts : hearings before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Seventh Congress, first session, June 14; July 31, 2001
- Arbitrage in domestic securities in the United States
- Argument before U.S. Senate Committee on Banking and Currency, in support of Senate bill No. 3895 to regulate the use of the mails, telegraph and telephone by stock exchanges, March 16th, 1914
- Audit/evaluation and other reports
- Broker dealers, investment advisers and commercial banks : aspects of their duties in advising individual investors
- Commercial banking and the stock market before 1863
- Commercial banking and the stock market before 1863
- Competition and transparency in the financial marketplace of the future : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the impact of globalization, innovation, and technology on competition in the U.S. securities markets, April 26, 2000
- Competition and transparency in the financial marketplace of the future : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the impact of globalization, innovation, and technology on competition in the U.S. securities markets, April 26, 2000
- Constitution of the New York Stock Exchange : amended to January 1, 1892
- Developments since the market crash of October 1987
- Dow 36,000 : the new strategy for profiting from the coming rise in the stock market
- Economic Repercussions of the Stock Market Bubble
- Economic policy and the regulation of corporate securities : a symposium sponsored by the National Law Center, the George Washington University, and American Enterprise Institute for Public Policy Research
- Effect of the 1987 stock market decline on selected large pension plans
- Electronic bulls and bears : U.S. securities markets and information technology
- Emergence of swap execution facilities : a progress report : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... June 29, 2011
- Examining the efficiency, stability, and integrity of the U.S. capital markets : joint hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, and the Permanent Subcommittee on Investigations of the Committee on Homeland Security and Governmental Affairs, United States Senate, One Hundred Eleventh Congress, second session ... December 8, 2010
- Examining the efficiency, stability, and integrity of the U.S. capital markets : joint hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, and the Permanent Subcommittee on Investigations of the Committee on Homeland Security and Governmental Affairs, United States Senate, One Hundred Eleventh Congress, second session, on examining the efficiency, stability, and integrity of the U.S. capital markets, December 8, 2010
- Extend date of SEC report. : Hearing, Eighty-seventh Congress, second session, May 14, 1962
- FINRA arbitration rules : 2011
- FINRA organizational materials
- Factors affecting the stock market : Staff report to the Committee on Banking and Currency, United States Senate
- Federal securities act handbook
- Federal securities law reporter (CCH)
- Financial markets. : Hearings, Ninety-third Congress, first session
- From automated quotes to automated trading : restructuring the stock market in the U.S.
- Impact of the stock market drop and related economic developments : hearing before the Subcommittee on Financial Institutions Supervision, Regulation, and Insurance of the Committee on Banking, Finance, and Urban Affairs, House of Representatives, One-Hundredth Congress, second session, February 3, 1988
- Increase in SEC regulation A offering limits. : Hearings before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-fifth Congress, first session, on S. 810 and S. 843, bills amending section 3 (b) of the Securities act of 1933 to permit exemption of security issures not exceeding $500,000 from the provisions of such act
- Institutional investors and the stock market, 1953-55 : staff report
- Interim report of the Working Group on Financial Markets : submitted to the President of the United States
- Investor protection : Hearings before a subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, first[- second] session, on H.R. 6789, H.R. 6793, S. 1642, bills to amend the Securities act of 1933, as amended, and the Securities exchange act of 2934, as amended, to extend disclosure requirements to the issuers of additional publicly traded securites, to provide for improved qualification and disciplinary procedures for registered brokers and dealers, and for other purposes
- Judicial decisions, comprising all court decisions, reported and unreported, in civil and criminal cases involving statutes administered by the Securities and Exchange Commission to December 31, 1939
- Laws relating to Securities Commission exchanges and holding companies, with indices
- Laws relating to Securities Commission exchanges and holding companies, with indices
- Legal pitfalls of the stockbrokerage business and how they may be avoided
- Long-Term Economic Effects of Chronically Large Federal Deficits : CBO Economic and Budget Issue Brief
- Market circuit breakers : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on the function of circuit breakers in today's financial markets and the need for reform of their operations, January 29, 1998
- Market circuit breakers : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fifth Congress, second session, on the function of circuit breakers in today's financial markets and the need for reform of their operations, January 29, 1998
- Market making and the changing structure of the securities industry
- Market manipulation and the Exchange Act
- Market microstructure : examination of exchange-traded funds (ETFs) : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Twelfth Congress, first session ... October 19, 2011
- Market structure : ensuring orderly, efficient, innovative, and competitive markets for issuers and investors : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 20, 2012
- Market volatility
- NASDAQ alerts
- NASDAQ manual
- NASDAQ rulebook
- NYSE Arca guide
- NYSE Arca/Pacific Stock Exchange rule archives
- NYSE guide
- NYSE listed company manual
- National market system : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, April 14, May 13, 26, June 29, and July 13, 1993
- New York Stock Exchange (NYSE) constitution & rules
- New York Stock Exchange (NYSE) information memos
- New York Stock Exchange (NYSE) listed company manual
- New York Stock Exchange listed company manual
- Organized exchanges and the regulation of dual class common stock
- Policy statement of the Securities and Exchange Commission on the structure of a central market system
- Populists, plungers, and progressives : a social history of stock and commodity speculation, 1890-1936
- Problems in the securities industry. : Hearing, Ninety-first Congress, first session, to ascertain the views of Hamer H. Budge, Chairman of the Securities and Exchange Commission, on problems in the securities industry. March 6, 1969
- Promoter liability and the Securities Act of 1933
- Proposed amendments to the Securities act of 1933 and to the Securities exchange act of 1934. : Hearings before the Committee on interstate and foreign commerce, House of representatives, Seventy-seventh Congress, first session, on a comparative print showing proposed changes in the Securities act of 1933 and the Securities exchange act of 1934 and H. R. 4344, H. R. 5065, and H. R. 5832, bills relating to proposed amendments to the Securities act of 1933 and to Securities exchange act of 1934
- Recent developments in U.S. financial markets and regulatory responses to them : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Tenth Congress, second session, on recent developments in U.S. financial markets and regulatory responses to them, Tuesday, July 15, 2008
- Regulations 40 (1922 ed.) relating to the stamp tax on issues, sales, and transfers of stock and sales of products for future delivery under the Revenue act of 1921. : Approved June, 1922
- Releases
- Report of special study of securities markets of the Securities and Exchange Commission
- Report of the Presidential Task Force on Market Mechanisms : submitted to the President of the United States, the Secretary of the Treasury and the Chairman of the Federal Reserve Board
- Report on the comparison of order executions across equity market structures
- Report on the conferences with the Securities and Exchange Commission and its staff on proposals for amending the Securities Act of 1933 and the Securities Exchange Act of 1934
- Report on the conferences with the Securities and exchange commission and its staff on proposals for amending the Securities act of 1933 and the Securities exchange act of 1934
- Report on the feasibility and advisability of the complete segregation of the functions of dealer and broker : pursuant to section 11 (e) of the Securities Exchange Act of 1934 : Washington, D.C. June 20, 1936
- Report on the feasibility and advisibility of the complete segregation of the functions of dealer and broker : pursuant to section 11(e) of the Securities exchange act of 1934
- Report on the practice of preferencing
- Report on the study and investigation of the work, activities, personnel and functions of protective and reorganization committees : pursuant to Section 211 of the Securities and Exchange Act of 1934
- Report on trading in unlisted securities upon exchanges : pursuant to Section 12 (f) of the Securities Exchange Act of 1934, January 3, 1936
- Report to the commission by the Trading & exchange division on secondary distributions of exchange stocks, Feb. 5, 1942
- Report to the commission on the problem of multiple trading on securities exchanges
- SEC enforcement problems. : Hearing before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-fifth Congress, first session, to hear a report from the Securities [and] Exchange Commission on its problems enforcing the securities laws. Pt. 1, March 5, 1957
- SEC legislation. : Hearings before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-fifth Congress, first session, on S. 594, S. 1168, and S. 1601, bills to amend the Securities exchange acts, and for other purposes
- SEC oversight : current state and agenda : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, July 14, 2009
- SEC reauthorization : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, May 19, 1993
- SEC releases
- SEC telephone interpretations & comments
- Sarbanes-Oxley and the competitive position of U.S. stock markets
- Securities Exchange Act Amendments : Public Law 557, Ch. 667, 83d Congress, 2d Session
- Securities Exchange Act Amendments of 1961 : Public Law 87-196, 75 Stat. 465, September 5, 1961
- Securities Exchange Act of 1934 : as amended to July 29, 1968
- Securities and Exchange Commission : Opportunities Exist To Improve Oversight of Self-Regulatory Organizations
- Securities exchange act amendments. : Hearings before a subcommittee of the Committee on Banking and Currency, United States Senate, Eighty-first Congress, second session, on S. 2408, a bill to amend the Securities exchange act of 1934, as amended
- Securities exchange acts amendments ; : report to accompany S. 2846, a bill to amend certain provisions of the Securities act of 1933, as amended; the Securities exchange act of 1934, as amended; the Trust indenture act of 1939; and the Investment company act of 1940
- Securities markets : decimal pricing has contributed to lower trading costs and a more challenging trading environment : report to congressional requesters
- Securities markets : opportunities exist to enhance investor confidence and improve listing program oversight : report to congressional requesters
- Securities markets agencies. : Hearings, Ninety-first Congress, first session
- Securities markets investigation : hearings before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, eighty-seventh Congress, first session on H.J. Res. 438
- Securities trading--SEC action needed to address national market system issues : report to Congressional committees
- Securities, exchanges and the SEC
- Speculation on the stock and produce exchange of the United States
- Speculation on the stock and produce exchanges of the United States
- Speculation on the stock exchanges and public regulation of the exchanges : an address delivered before the American Economic Association at Princeton, N.J., December 29th, 1914
- Statement of the Securities and Exchange Commission on the future structure of the securities markets
- Stock exchange practices : letter
- Stock exchange regulation : letter
- Stock market control : a summary of the research findings and recommendations of the Security Markets Survey staff of the Twentieth Century Fund, Inc.
- Stock market study : hearings before the Committee on Banking and Currency, United States Senate, Eighty-fourth Congress, first session on S. 2054, a bill to amend the Securities Exchange Act of 1934, as amended, Part 2, Regulation of unlisted securities, June 27, 30, and July 1, 1955
- Stock market study : hearings before the Committee on Banking and Currency, United States Senate, Eighty-fourth Congress, first session on S. 879, a bill to amend the Securities Exchange Act of 1934 to increase public disclosure of security ownership, Part 3, Corporate proxy contents, June 1, 2, 8, 9, and 15, 1955; July 5 and 6, 1956
- Stock market study : hearings before the Committee on Banking and Currency, United States Senate, Eighty-fourth Congress, first session on factors affecting the buying and selling of equity securities, [Part 1], March 3, 4, 7, 9, 10, 11, 14, 16, 17, 18, 21, 22, and 23, 1955
- Stock market study : report, together with individual views and minority views of the Committee on Banking and Currency, eighty-fourth Congress, first session
- Stock market study, regulation of unlisted securities. : Hearing before the Committee on Banking and Currency. U.S. Senate, 84th cong., second session, on S. 2054, a bill to amend the Securities and Exchange Act of 1954, as amended. June 22, 1956. [Part 2-A]
- Study of the securities industry : appendix to hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representativs, Ninety-second Congress, first session : October 18, 19, 20, 26, 27; November 16, 17, 1971, pt. 4
- Study of the securities industry : appendix to hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representativs, Ninety-second Congress, first session : October 18, 19, 20, 26, 27; November 16, 17, 1971, pt. 5
- Study of the securities industry : appendix to hearings before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representativs, Ninety-second Congress, second session : April 14, 17, 25, 26; May 11, 12, 1972, pt. 9
- The New York Stock Exchange : governance and market reform
- The October 1987 market break : SEC staff report
- The October 1987 market break : a report
- The SEC's market structure proposal : will it enhance competition? : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Entereprises [sic] of the Committee on Financial Services, U.S. House of Representatives, One Hundred Ninth Congress, first session, February 15, 2005
- The future of the securities markets : hearing before the Subcommittee on Securities and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, first session, on the structure of the U.S. equities markets, with particular regard to their fairness and efficiency, October 15, 2003
- The impact and effectiveness of the small order execution system : hearing before the Subcommittee on Finance and Hazardous Materials of the Committee on Commerce, House of Representatives, One Hundred Fifth Congress, second session, August 3, 1998
- The investment business
- The principal causes of the stock market crisis of nineteen twenty nine : address delivered
- The rights of margin customers against wrongdoing stockbrokers and some other problems in the modern law of pledge
- The role of institutional investors in the stock market
- The role of regional security exchanges
- The securities market and how it works
- The securities markets : operations and issues
- The security markets : findings and recommendations of a special staff of the Twentieth Century Fund
- The state of the securities industry : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Ninth Congress, first session, on the examination of the state of the securities industry, focusing on recent initiatives regarding market structure, credit rating agencies, mutual funds, and the implementation of the Sarbanes-Oxley requirements, March 9, 2005
- The stock exchange from within
- The stock market and economic efficiency
- The stock market and social security, the risks and the rewards : hearing before the Special Committee on Aging, United States Senate, One Hundred Fifth Congress, second session, Washington, DC, April 22, 1998
- The stock market's response to dramatic historical events
- The stock markets
- The war and Wall street : an address delivered before the City Club of Rochester, N.Y., Nov. 14, 1914
- The work of the Stock Exchange
- Trading places : markets for investors : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session ... March 22, 2000
- Trading places : markets for investors : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Sixth Congress, second session on the structure of the U.S. securities market and the impact of globalization, competition, innovation, and technology on the U.S. securities markets, March 22, 2000
- Understanding the New York Stock Exchange
- United States Securities and Exchange Commission releases, Statistical series
- Unlisted Trading Privileges Act of 1994 : report (to accompany H.R. 4535) (including cost estimate of the Congressional Budget Office)
- Values in the marketplace : the American stock market under federal securities law
- Venture exchanges and small-cap companies : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, first session, on examining how venture exchanges can aid capital formation and secondary trading for smaller businesses and companies, March 10, 2015
- Volume, volatility and NYSE trading halts
- Vy i mir investi︠t︡siĭ : uchebnoe posobie
- Vy i mir investi︠t︡siĭ : uchebnoe posobie
- Wall Street in transition : the emerging system and its impact on the economy
- Wall Street under oath ; : the story of our modern money changers
- Wall Street, asset or liability?
- When the levees break : re-visioning regulation of the securities markets
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