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Administrative proceeding
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#	Item
991	ADMINISTRATIVE PROCEEDING BKFORETHE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:27 New Deal Securities Act Financial regulation Financial economics SEC filings Financial system United States securities law United States Securities and Exchange Commission 73rd United States Congress
992	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER 9F: ) Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:01 United States Securities and Exchange Commission United States securities law Texas State Securities Board Financial regulation United States 73rd United States Congress New Deal Securities Act
993	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA l~ THE MATIER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:04 Security Financial economics Financial regulation Investment United States securities law Uniform Securities Act Securities Act
994	ADMINISTRATIVE PROCEEDING BEFORE THE 2 SECURITIES COMMISSIONER OF SOUTH CAROLINA Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:07 Prosper Marketplace Security Person-to-person lending Financial economics Credit Economics
995	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:28 Law Financial regulation United States securities law Cease and desist Securities Act
996	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: MORGAN STANLEY & CO. Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:06 Auction rate security Bonds Securities
997	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: MICHAEL R. KENNEDY Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:04 Financial adviser Charles Schwab Corporation Schwab Registered Investment Advisor Investment Advisor Money Finance Financial economics Business
998	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: RAYMOND JAMES & ASSOCIATES, INC., & RAYMOND JAMES Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:30 Economics Financial economics Auction rate security Bonds Securities Finance Raymond James Financial Auction Dutch auction Business Auction theory Auctioneering
999	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:08 Financial services Funds United States securities law Financial markets Collective investment scheme Securities Act Short Financial economics Investment Finance
1000	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Clifton Rodney Michael Add to Reading List Source URL: www.scag.gov Language: English - Date: 2013-09-16 15:16:05 Investment Finance Business Securities Stock market Promissory note

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