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Administrative proceeding
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121	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release NoMay 20, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-20 17:49:56 Finance Financial services Registered Investment Advisor Investment Advisers Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities Act Collective investment scheme SEC Rule 10b-5 Financial economics United States securities law Investment
122	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release NoMay 14, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-14 09:45:48 Financial services Funds Institutional investors Insurance United States Postal Service Nationwide Mutual Insurance Company Annuity Net asset value Futures contract Financial economics Investment Finance
123	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMay 21, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-20 18:59:31 SEC filings Government Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Financial regulation Securities and Exchange Commission Financial economics United States securities law 73rd United States Congress United States Securities and Exchange Commission
124	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 23, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-23 17:41:05 Disgorgement U.S. Securities and Exchange Commission Government Corporate crime United States Securities and Exchange Commission Fair Fund
125	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release NoApril 21, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-21 19:45:43 Financial adviser Federal Reserve System Registered Investment Advisor Business Economics Financial services Investment Financial economics Finance
126	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 28, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-27 19:18:43 Securities and Exchange Commission Form 10-Q Financial regulation Government Finance SEC filings Securities Exchange Act U.S. Securities and Exchange Commission
127	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 20, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-20 12:49:47 Corporate governance SEC filings Finance Risk United States corporate law Sarbanes–Oxley Act Regulation S-K Form 10-K Committee of Sponsoring Organizations of the Treadway Commission Auditing United States securities law Business
128	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoApril 23, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-23 17:29:37 Securities Act United States Securities and Exchange Commission U.S. Securities and Exchange Commission Financial regulation Government Great Depression in the United States United States securities law 73rd United States Congress New Deal
129	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 22, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-21 19:57:05 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Form 10-Q Financial regulation Government Finance SEC filings United States securities law United States Securities and Exchange Commission
130	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 23, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-23 09:41:34 Financial markets Self-regulatory organizations Municipal Securities Rulemaking Board Financial regulation United States securities law Security U.S. Securities and Exchange Commission Broker-dealer Securities Exchange Act Financial economics Finance Financial system

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