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Administrative proceeding
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921	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF SOUTH CAROLINA ) Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:34 Business Financial adviser Investment Investment Advisor Registered representative Federal Reserve System Broker-dealer Registered Investment Advisor Office of the Kansas Securities Commissioner Finance Financial economics United States securities law
922	INITIAL DECISION RELEASE NO. 648 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: 2014-08-05 11:13:19 Financial regulation 76th United States Congress Government Corporate crime U.S. Securities and Exchange Commission Securities regulation in the United States United States Securities and Exchange Commission Registered Investment Advisor United States securities law 73rd United States Congress United States Securities and Exchange Commission
923	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 6, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-06 06:15:40 Securities and Exchange Commission Form 10-Q OTC Markets Group Government Financial regulation Finance SEC filings Securities Exchange Act U.S. Securities and Exchange Commission
924	ADMINISTRATIVE PROCEEDING BKFORETHE SECURITIES COMMISSIONER O:F SOUTH CAROLINA IN THE MATTER OF: Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:06:51
925	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 1, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-01 13:31:23 Finance Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Securities and Exchange Commission Financial Industry Regulatory Authority Self-regulatory organization Registered representative United States securities law Financial economics Financial system
926	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 29, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-29 14:11:01 U.S. Securities and Exchange Commission Securities and Exchange Commission Financial regulation Government Financial economics United States securities law SEC Rule 10b-5 Securities Exchange Act
927	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 12, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-12 11:08:10 Securities and Exchange Commission Form 10-Q U.S. Securities and Exchange Commission Government Financial regulation Finance SEC filings Form 10-K Securities Exchange Act
928	INITIAL DECISION RELEASE NO. 650 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: 2014-08-05 16:33:14 Securities and Exchange Commission Form 10-Q Form 10-K Government Security Finance Financial economics Mutual fund scandal SEC filings Securities Exchange Act U.S. Securities and Exchange Commission
929	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: 2014-05-07 11:08:57 Economics Investment Macroeconomics Short Rate of return Financial economics Finance Financial markets
930	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 23, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-23 13:21:16 Business Government United States securities law 76th United States Congress Investment Advisers Act Registered Investment Advisor U.S. Securities and Exchange Commission Investment Advisor Financial adviser Finance Financial economics Investment

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