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Mutual fund scandal
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51	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 25, 2014 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-25 13:08:28 Financial services Institutional investors Hedge fund U.S. Securities and Exchange Commission Investment Advisers Act Securities Fraud Deterrence and Investor Restitution Act Mutual fund scandal Financial economics Investment Finance
52	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 19, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-19 17:33:54 Disgorgement U.S. Securities and Exchange Commission GLG Partners Mutual fund scandal Government Corporate crime Fair Fund United States Securities and Exchange Commission
53	BOX PARTICIPANTS AS OF[removed]ORGANIZATION PRIMARY BUSINESS NAME ORG CRD Add to Reading List Source URL: boxexchange.com Language: English - Date: 2014-12-01 16:02:43 Primary dealers Financial services Cowen Group Merrill Lynch Goldman Sachs Wedbush Securities Mutual fund scandal Investment Investment banks Financial economics
54	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 29, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-29 14:45:37 Financial regulation Securities Exchange Act Government Securities Act U.S. Securities and Exchange Commission Securities and Exchange Commission United States World Group Securities Mutual fund scandal United States securities law 73rd United States Congress United States Securities and Exchange Commission
55	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 4, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-04 17:05:18 Disgorgement Government Securities and Exchange Commission Securities Commission Politics Securities Fraud Deterrence and Investor Restitution Act Mutual fund scandal Corporate crime Fair Fund United States Securities and Exchange Commission
56	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 17:49:57 Fair Fund United States Securities and Exchange Commission Financial services Funds Mutual fund scandal Securities Fraud Deterrence and Investor Restitution Act Financial economics Investment Corporate crime
57	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 29, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-29 14:37:42 Financial regulation Government Securities Exchange Act Securities Act U.S. Securities and Exchange Commission Securities and Exchange Commission United States Mutual fund scandal Regulation S-K United States securities law 73rd United States Congress United States Securities and Exchange Commission
58	INITIAL DECISION RELEASE NO. 670 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: 2014-09-17 12:37:58 Securities and Exchange Commission Form 10-Q U.S. Securities and Exchange Commission Form 10-K Security Securities and Exchange Commission Finance Financial regulation Mutual fund scandal SEC filings Government Securities Exchange Act
59	April 15, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-04-25 15:53:38 Economics U.S. Securities and Exchange Commission Short Mutual fund scandal Financial adviser Securities market Investor Protection and Securities Reform Act Yield spread premium Finance Business Financial economics
60	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

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