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Administrative proceeding
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421	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 17:16:00
422	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 21, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-21 16:13:56 Securities Exchange Act SEC Rule 10b-5 Securities regulation in the United States Securities and Exchange Commission Government Financial regulation Financial economics United States securities law 73rd United States Congress United States Securities and Exchange Commission
423	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 12:17:15 Waddell & Reed Financial economics U.S. Securities and Exchange Commission Securities and Exchange Commission Investment Government Economics Financial services Corporate crime Fair Fund United States Securities and Exchange Commission
424	INITIAL DECISION RELEASE NO. 734 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: 2015-01-12 14:44:30 Structured finance Fixed income securities Mortgage-backed security Bonds United States housing bubble Collateralized debt obligation Synthetic CDO Residential mortgage-backed security Tranche Financial economics Finance Investment
425	INITIAL DECISION RELEASE NO. 732 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: 2015-01-06 12:21:01 U.S. Securities and Exchange Commission Securities and Exchange Commission Form 10-Q Securities and Exchange Commission Financial regulation Finance SEC filings Government Securities Exchange Act
426	INITIAL DECISION RELEASE NO. 733 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: 2015-01-07 13:20:39 Contract law Insurance Actuarial science Life annuity Annuity Registered representative Financial services Indexed annuity Financial economics Investment Retirement
427	INITIAL DECISION RELEASE NO. 739 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: 2015-01-22 12:14:43 Finance SEC Rule 10b-5 U.S. Securities and Exchange Commission Scienter Jefferies & Company Securities Act Securities Exchange Act Securities and Exchange Commission Securities fraud United States securities law Law Financial economics
428	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
429	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
430	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 17:16:00

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