OTC Bulletin Board - PDFSEARCH.IO - Document Search Engine

OTC Bulletin Board
Results: 218

#	Item
31	VIA Electronic Submission February 24, 2015 Brent Fields Secretary Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-25 09:09:24 Finance OTC Bulletin Board Securities Exchange Act Market maker Order Security Broker-dealer Chicago Stock Exchange Secondary market Financial markets Financial economics Investment
32	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 2, 2015 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-02 16:48:17 Financial regulation Financial system Business Financial Industry Regulatory Authority OTC Bulletin Board U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
33	February 28, 2015 RE: FILE No[removed]Advisory Committee on Small and Emerging Markets Ladies and Gentlemen: One of the topics this Committee is considering is the definition of an accredited investor. The DoddFrank Act Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-03-02 14:22:03 Stock market Financial markets Financial regulation OTC Bulletin Board Short Stock trader Securities fraud Futures contract Foreign exchange market Financial economics Investment Finance
34	September 12, 2013 VIA Electronic Submission Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-09-13 15:12:22 Business United States securities law Stock market Financial regulation United States Securities and Exchange Commission Alternative Trading Systems U.S. Securities and Exchange Commission Securities Exchange Act OTC Bulletin Board Financial economics Financial markets Finance
35	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]February 11, 2015 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effecti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:50:26 Business Financial economics Securities Exchange Act U.S. Securities and Exchange Commission ACT Security Self-regulatory organization OTC Bulletin Board United States securities law Financial Industry Regulatory Authority Financial regulation
36	Page 16 of 17 EXHIBIT 5 Below is the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. *** 6000. QUOTATION AND TRANSACTION REPORTING FACILITIES Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 08:50:32** Investment United States securities law Economics Financial Industry Regulatory Authority Quote Stock OTC Bulletin Board Stock market Financial economics Self-regulatory organizations
37	Attn: Trading and Market Making/Legal and Compliance/Operations/Systems UNIFORM PRACTICE ADVISORY (UPC # [removed]November 1, 2004 NorthWestern NorthWestern NorthWestern NorthWestern Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-07 04:01:51 Stock market Finance Economics OTC Bulletin Board Preferred stock Common stock Security Warrant Stock Equity securities Financial economics Corporate finance
38	March 31, 2007 Spam Works: Evidence from Stock Touts and Corresponding Market Activity Laura L. Frieder∗ Jonathan Zittrain∗∗ Add to Reading List Source URL: cyber.law.harvard.edu Language: English Computing Spam Email spam Pump and dump Anti-spam techniques OTC Markets Group OTC Bulletin Board Microcap stock fraud Securities market Spamming Internet Business
39	Attn: Trading and Market Making/Legal and Compliance/Operations/Systems UNIFORM PRACTICE ADVISORY (UPC # [removed]November 1, 2004 NorthWestern NorthWestern NorthWestern NorthWestern Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-03-21 22:21:33 Stock market Finance Economics OTC Bulletin Board Preferred stock Common stock Security Warrant Stock Equity securities Financial economics Corporate finance
40	Microsoft Word[removed]doc Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-03-21 18:09:34 Economics Investment Equity securities Reverse stock split Stock split Stock OTC Bulletin Board Common stock Stock market Corporate finance Financial economics