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Administrative proceeding
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351	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 28, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-28 16:00:11 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Financial economics Financial system Securities Act SEC Rule 10b-5 Mutual fund scandal United States securities law United States Securities and Exchange Commission 73rd United States Congress
352	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 6, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-06 13:53:41 United States securities law Financial services 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities fraud Securities Act Financial adviser Collective investment scheme Financial economics Investment Finance
353	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 28, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-01-28 16:00:11 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Financial economics Financial system Securities Act SEC Rule 10b-5 Mutual fund scandal United States securities law United States Securities and Exchange Commission 73rd United States Congress
354	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 11, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-11 10:02:20 NCR Corporation Mechanical engineering Economics Building engineering 73rd United States Congress United States Securities and Exchange Commission United States securities law Tender offer Insider trading Business Heat transfer Radiant Systems
355	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 23, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-01-23 15:17:03 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Act United States Government Securities Fraud Deterrence and Investor Restitution Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
356	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 11, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-11 11:12:16 Finance 73rd United States Congress United States Securities and Exchange Commission Financial markets Stock market U.S. Securities and Exchange Commission Securities and Exchange Commission Securities Exchange Act Securities Act Financial economics United States securities law Financial system
357	SEC-36 SYSTEM NAME: Administrative Proceeding Files. SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street, NE, Washington, DC[removed]CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-05 12:48:51 Financial system Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Securities regulation in the United States Municipal Securities Rulemaking Board Self-regulatory organization Security United States securities law Government Financial regulation
358	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND * IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2015-01-27 11:53:40 Marketing Law Strategic alliances Franchise disclosure document Franchise agreement Franchising Franchise Rule Rescission Franchise fee Contract law Franchises Business
359	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]January 28, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-01-28 16:46:05 Financial services 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities regulation in the United States Financial adviser Economics Pension Investment Financial economics Finance
360	ADMINISTRATIVE PROCEEDING BEFORE THE MARYLAND SECURITIES COMMISSIONER IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2015-01-26 12:12:11 Royal Bank of Canada Business Registered Investment Advisor Money Investment Advisor Financial adviser RBC Capital Markets Securities Act Finance Financial economics Investment

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