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Mutual fund scandal
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41	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]December 23, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-23 15:11:16 Financial regulation Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Financial system Financial economics Securities Act Mutual fund scandal United States securities law 73rd United States Congress United States Securities and Exchange Commission
42	BOX PARTICIPANTS AS OF[removed]ORGANIZATION PRIMARY BUSINESS NAME ORG CRD Add to Reading List Source URL: boxexchange.com Language: English - Date: 2015-01-02 08:49:52 Primary dealers Wedbush Securities Cowen Group Merrill Lynch Goldman Sachs Credit Suisse Mutual fund scandal Investment Investment banks Financial economics
43	Last amendment in force on September 28, 2009 This document has official status chapter V-1.1, r. 41 REGULATION[removed]RESPECTING MUTUAL FUND SALES PRACTICES _______________ Decision 2001-C-0212, Title; M.O[removed], s. Add to Reading List Source URL: www.lautorite.qc.ca Language: English - Date: 2014-09-24 12:02:55 Collective investment schemes Institutional investors Funds Mutual fund Security Mutual fund scandal Mutual fund fees and expenses Financial economics Investment Financial services
44	Commonwealth Equity Services, LLP d/b/a Commonwealth Financial Network; Detwiler, Mitchell, Fenton & Graves, Inc.; and James X. McCarty Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-20 11:48:45 Fair Fund United States Securities and Exchange Commission Financial services Institutional investors Mutual fund scandal Financial economics Investment Corporate crime
45	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
46	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 21, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-21 17:17:34 Investment banks Citigroup Credit Suisse U.S. Securities and Exchange Commission Mutual fund scandal Investment Primary dealers Financial economics
47	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 10:14:35 Disgorgement Government U.S. Securities and Exchange Commission Securities and Exchange Commission Cease and desist Financial economics Economics Securities Fraud Deterrence and Investor Restitution Act Mutual fund scandal Corporate crime Fair Fund United States Securities and Exchange Commission
48	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 3, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-03 16:20:34 Disgorgement Government U.S. Securities and Exchange Commission Securities and Exchange Commission Securities Exchange Act Financial regulation Securities Fraud Deterrence and Investor Restitution Act Mutual fund scandal Corporate crime United States Securities and Exchange Commission Fair Fund
49	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 10:34:12 73rd United States Congress Fair Fund U.S. Securities and Exchange Commission Securities Exchange Act Financial regulation Government Financial economics Mutual fund scandal Securities Fraud Deterrence and Investor Restitution Act United States Securities and Exchange Commission Corporate crime United States securities law
50	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 10:17:42 Fair Fund United States Securities and Exchange Commission Government U.S. Securities and Exchange Commission Investment Company Act Disgorgement Securities and Exchange Commission Securities Fraud Deterrence and Investor Restitution Act Mutual fund scandal Corporate crime Financial economics Investment

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