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Administrative proceeding
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501	INITIAL DECISION RELEASE NO. 695 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: 2014-10-20 17:30:18 United States Securities and Exchange Commission Financial economics Finance 76th United States Congress Corporate crime U.S. Securities and Exchange Commission Investment Advisers Act Financial Industry Regulatory Authority Securities Exchange Act United States securities law Financial regulation 73rd United States Congress
502	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 18, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-18 14:34:41 Financial economics Financial regulation Financial system Securities Exchange Act U.S. Securities and Exchange Commission Securities Act Securities and Exchange Commission Broker-dealer United States securities law 73rd United States Congress United States Securities and Exchange Commission
503	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 6, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-06 15:25:51 Securities and Exchange Commission Form 10-Q Government Financial regulation Finance SEC filings Securities Exchange Act U.S. Securities and Exchange Commission
504	INITIAL DECISION RELEASE NO. 698 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: 2014-10-23 04:55:32 Securities regulation in the United States Investment Advisers Act SEC Rule 10b-5 Securities and Exchange Commission Financial regulation Government United States United States securities law Securities Exchange Act U.S. Securities and Exchange Commission
505	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 14, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-14 15:14:03 Securities Exchange Act Financial regulation Government Financial economics United States securities law SEC Rule 10b-5 U.S. Securities and Exchange Commission
506	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 15, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-15 06:31:41 U.S. Securities and Exchange Commission Securities and Exchange Commission Form 10-Q OTC Markets Group Government Financial regulation Finance SEC filings Form 10-K Securities Exchange Act
507	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 7, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 14:05:09 73rd United States Congress United States Securities and Exchange Commission Financial system Investment Financial regulation SEC Rule 10b-5 Securities Exchange Act Securities fraud Securities Act United States securities law Stock market Financial economics
508	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 19, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-19 11:17:17 Securities Exchange Act U.S. Securities and Exchange Commission Financial regulation Government United States SEC filing United States securities law United States Securities and Exchange Commission 73rd United States Congress
509	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
510	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 09:35:01 Stock market 73rd United States Congress United States Securities and Exchange Commission Investment Finance Securities Act Security Form 10-K Stock exchange SEC filings United States securities law Financial economics

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