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Administrative proceeding
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541	INITIAL DECISION RELEASE NO. 723 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: 2014-12-19 12:05:57 U.S. Securities and Exchange Commission Form 10-K Securities and Exchange Commission Form 10-Q Form 20-F Financial regulation Securities and Exchange Commission Finance Regulation S-X SEC filings Government Securities Exchange Act
542	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]September 12, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-12 15:10:31 Finance Registered Investment Advisor U.S. Securities and Exchange Commission Securities fraud Financial adviser Securities and Exchange Commission Business Financial economics 76th United States Congress Investment Advisers Act
543	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 10:32:42 Finance Security Short Initial public offering U.S. Securities and Exchange Commission Securities Exchange Act Stock exchange Stock market Financial economics Investment
544	INITIAL DECISION RELEASE NO. 715 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: 2014-12-03 16:43:30 United States Securities and Exchange Commission Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Form 10-K Securities and Exchange Commission Form 10-Q Government Securities regulation in the United States SEC Rule 10b-5 SEC filings United States securities law 73rd United States Congress
545	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: 2014-12-15 12:10:50 United States Securities and Exchange Commission United States securities law Security Financial economics Financial regulation Investment Hate speech laws in Canada 73rd United States Congress New Deal Securities Act
546	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 10:08:07 Corporate finance Finance Short Initial public offering Security Follow-on offering Stock Stock market Financial economics Investment
547	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 25, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-25 10:35:17 Financial regulation Securities Exchange Act Securities Act SEC Rule 10b-5 U.S. Securities and Exchange Commission United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
548	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 16, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 10:33:08 Finance Security Short Initial public offering Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Stock exchange Stock market Financial economics Investment
549	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 13:28:53 Finance 73rd United States Congress United States Securities and Exchange Commission Financial markets Short selling Securities Exchange Act Securities Act U.S. Securities and Exchange Commission Broker-dealer United States securities law Financial economics Financial system
550	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 22, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-22 12:27:17 Securities United States securities law United States Securities and Exchange Commission Securities fraud Hedge fund Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States SEC Rule 10b-5 Financial economics Finance Investment

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