Respondents

The Application of Securities Industry and Financial Markets Association

Administrative Proceeding File No. 3-16330 Table

Release Date
Release Number
Other Release Numbers
Name of Document
Release Date: Release Number:34-90087 Other Release Numbers: Name of Document: Sec. Indus. & Fin. Mkts. Ass'n, File No. 3-15364 (June 25, 2013)
Release Date: Release Number:34-89504 Other Release Numbers: Name of Document: Order Vacating Prior Order and Requesting Additional Briefs
Release Date: Release Number:34-84827 Other Release Numbers: Name of Document: Order
Release Date: Release Number:34-74032 Other Release Numbers: Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 19(h) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order