Administrative proceeding

Results: 2501



#Item
291Finance / United States Securities and Exchange Commission / 76th United States Congress / 73rd United States Congress / Investment / Registered Investment Advisor / U.S. Securities and Exchange Commission / Investment Advisers Act / Securities and Exchange Commission / United States securities law / Financial economics / Financial regulation

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING

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Language: English - Date: 2015-02-04 17:45:21
29273rd 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

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 25, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-02-25 06:16:18
293Financial regulation / Corporate crime / U.S. Securities and Exchange Commission / Securities Act / SEC Rule 10b-5 / Securities Exchange Act / United States / Financial system / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 19, 2015 ADMINISTRATIVE PROCEEDING

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Language: English - Date: 2015-02-19 17:31:51
294Corporate crime / Finance / United States securities law / 73rd United States Congress / Fair Fund / Securities Exchange Act / SEC filings / U.S. Securities and Exchange Commission / JPMorgan Chase / Investment / United States Securities and Exchange Commission / Financial economics

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 12, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-02-12 11:54:40
295Form 20-F / Government / U.S. Securities and Exchange Commission / Securities and Exchange Commission Form 10-Q / OTC Markets Group / Financial regulation / Finance / SEC filings / Form 10-K / Securities Exchange Act

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 27, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-02-27 06:09:50
29673rd United States Congress / United States Securities and Exchange Commission / Economy of the United States / Late-2000s financial crisis / Investment Advisers Act / U.S. Securities and Exchange Commission / Investment Company Act / Financial Industry Regulatory Authority / Securities and Exchange Commission / United States securities law / Financial regulation / 76th United States Congress

INITIAL DECISION RELEASE NO. 743 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

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Source URL: www.sec.gov

Language: English - Date: 2015-02-18 12:47:49
297Containers / Packaging materials / Stationery / Coated paper / Paperboard / Cardboard / Box / Corrugated fiberboard / Acid-free paper / Paper / Printing / Technology

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Rel. No[removed]February 19, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-02-19 17:07:47
298U.S. Securities and Exchange Commission / Securities and Exchange Commission Form 10-Q / Government / OTC Markets Group / Financial regulation / Finance / SEC filings / Form 10-K / Securities Exchange Act

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 20, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-02-20 08:10:13
299United States Citizenship and Immigration Services / Kent / Immigration / Geography of the United States / EB-5 visa / Foreign direct investment / Immigration to the United States

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 26, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-02-26 16:43:56
300Financial markets / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission / H.D. Vest / Broker-dealer / Securities Exchange Act / Short / Securities Act / Financial economics / Finance / Financial system

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]March 4, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-03-04 10:23:22
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