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Administrative proceeding
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411	INITIAL DECISION RELEASE NO. 738 ADMINISTRATIVE PROCEEDING File No[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-20 16:44:06 76th United States Congress Business Corporate crime United States Securities and Exchange Commission Investment Advisers Act U.S. Securities and Exchange Commission Investment Advisor Financial regulation Securities regulation in the United States Finance Financial economics United States securities law
412	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 12, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-12 10:46:32 Investment Finance United States Securities and Exchange Commission Mathematical finance Order Direct Edge Regulation NMS Electronic communication network Algorithmic trading Financial markets Stock market Financial economics
413	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]January 13, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-13 17:16:25 76th United States Congress Investment Advisers Act
414	INITIAL DECISION RELEASE NO. 735 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-13 11:37:32 73rd United States Congress Government Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Form 10-Q Securities and Exchange Commission Registration statement Securities regulation in the United States Financial regulation SEC filings United States Securities and Exchange Commission United States securities law
415	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]December 3, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-03 16:51:25 Securities and Exchange Commission Form 10-Q Government Financial regulation Finance Form 10-K SEC filings Securities Exchange Act U.S. Securities and Exchange Commission
416	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 16, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-16 12:18:33 Damasco Finance Public finance Tax
417	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]January 13, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-13 17:16:46 Government Corporate crime U.S. Securities and Exchange Commission Investment Advisers Act
418	INITIAL DECISION RELEASE NO. 737 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-16 16:52:18 Government U.S. Securities and Exchange Commission Securities Exchange Act Investment Company Act Investment Advisers Act Financial Industry Regulatory Authority Securities regulation in the United States Securities and Exchange Commission SEC Rule 10b-5 United States securities law Financial regulation Financial economics
419	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 6, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-06 15:18:15 Financial services Collective investment schemes Institutional investors Financial markets Fair Fund Invoice Mutual fund Short Financial economics Investment Finance
420	INITIAL DECISION RELEASE NO. 736 ADMINISTRATIVE PROCEEDING File No[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-13 11:38:46 United States Securities and Exchange Commission Government Securities Exchange Act U.S. Securities and Exchange Commission Financial regulation Securities and Exchange Commission Form 10-Q Securities and Exchange Commission Finance SEC filings United States securities law 73rd United States Congress

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