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Administrative proceeding
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481	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]November 12, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-12 17:37:01 United States Securities and Exchange Commission U.S. Securities and Exchange Commission Securities Act Securities and Exchange Commission Financial regulation United States securities law Corporate crime Government
482	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 3, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-03 12:59:38 Financial markets United States securities law Self-regulatory organizations Municipal Securities Rulemaking Board Financial regulation United States Securities and Exchange Commission Security U.S. Securities and Exchange Commission Municipal bond Financial economics Finance Financial system
483	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-10-22 10:03:40 Broker-dealer Fixed income market
484	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]December 19, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-19 11:57:04 United States Securities and Exchange Commission Investment Disgorgement Financial services Economics Mutual fund scandal Securities Fraud Deterrence and Investor Restitution Act Financial economics Corporate crime Fair Fund
485	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 10, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-09 18:17:54 Government Securities Exchange Act Form 10-K Form 4 Insider trading Form 5 Form 3 U.S. Securities and Exchange Commission Securities regulation in the United States SEC filings Finance Business
486	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]September 17, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-17 16:59:33 Government 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission
487	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: 2014-10-29 12:11:45 Marketing Franchise agreement Franchising Franchise Rule Franchise fraud Franchise disclosure document Contract law Franchises Business
488	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-10-31 10:50:36 Venture capital Finance Economics Business Security Stock market U.S. Securities and Exchange Commission
489	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 18, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-18 10:30:21 U.S. Securities and Exchange Commission Securities and Exchange Commission Form 10-Q Government Financial regulation Finance Form 10-K SEC filings Securities Exchange Act Form 20-F
490	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 23, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-23 06:08:02 SEC filings Government Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Financial regulation Securities and Exchange Commission Financial economics United States securities law 73rd United States Congress United States Securities and Exchange Commission

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