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Administrative proceeding
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#	Item
471	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 20, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-20 10:35:24 Financial markets United States Securities and Exchange Commission Financial regulation Short selling Wedbush Securities Naked short selling Short Regulation NMS Broker-dealer Financial economics Investment Finance
472	Administrative Proceeding: Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network, Detwiler, Mitchell, Fenton & Graves, Inc., James X. McCarty Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-12 17:49:42 Securities and Exchange Commission Government Corporate crime Fair Fund United States Securities and Exchange Commission
473	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 10, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-10 16:56:00
474	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]April 2, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-02 14:36:49 Financial regulation Corporate crime U.S. Securities and Exchange Commission United States Investment Advisers Act Securities Act Government Securities Exchange Act SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
475	INITIAL DECISION RELEASE NO. 703 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: 2014-11-03 12:28:58 Form 8-K U.S. Securities and Exchange Commission Securities and Exchange Commission Form 10-Q KPMG Government Financial regulation Business SEC filings Form 10-K Securities Exchange Act
476	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: 2014-12-10 07:48:28 United States securities law 73rd United States Congress United States Securities and Exchange Commission Stock market Security Securities Act Broker-dealer Investment Advisor Financial adviser Financial economics Finance Investment
477	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 12, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-13 06:25:12 Finance 73rd United States Congress United States Securities and Exchange Commission Stock market Securities Exchange Act U.S. Securities and Exchange Commission Hedge fund Securities and Exchange Commission Security Financial economics Investment United States securities law
478	INITIAL DECISION RELEASE NO. 697 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: 2014-10-22 14:02:48 Business Financial regulation Short selling United States Securities and Exchange Commission U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Securities regulation in the United States Security United States securities law Financial economics Finance
479	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 5, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-05 09:34:38
480	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 5, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-05 09:33:31 Investment Finance United States securities law 73rd United States Congress United States Securities and Exchange Commission Securities Act Security Form 10-K Securities Exchange Act SEC filings Financial economics Stock market

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