Securities regulation in the United States - PDFSEARCH.IO - Document Search Engine

Securities regulation in the United States
Results: 4123

#	Item
91	Asia Pacific Equity Research Skyworth Digital Holdings (751 HK) Sentiment should be boosted by rival TCLM 1Q margin improvements Add to Reading List Source URL: investor.skyworth.com Language: English - Date: 2016-04-21 21:58:11 House of Morgan Finance in China Primary dealers JPMorgan Chase Securities research J.P. Morgan & Co. Hong Kong Exchanges and Clearing Security U.S. Securities and Exchange Commission Investment banking Skyworth Securities regulation in the United States
92	Financial Services Guide Pershing LLC One Pershing Plaza Jersey City, New JerseyUSA ARBN: Add to Reading List Source URL: onlineinvesting.westpac.com.au Language: English - Date: 2016-07-07 23:59:10 Self-regulatory organizations United States securities law Investment Securities Investor Protection Corporation Bank of New York Securities Investor Protection Act Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Pershing LLC Security John J. Pershing
93	OMB APPROVAL OMB Number: Expires: August 31, 2011 Estimated average burden Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:19 United States securities law Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Arbitration Self-regulatory organization
94	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-02-01 11:39:46 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States United States securities law Regulation S-K Securities Act
95	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-01-21 12:08:21 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States National Market System SEC filings
96	December 2015.qxp_Dec-2015-NJL:00 PM Page 11 Regulation A Plus A New Tool to Raise Capital by John A. Aiello and Philip D. Forlenza Add to Reading List Source URL: www.ghclaw.com Language: English - Date: 2015-12-14 10:32:09 U.S. Securities and Exchange Commission United States securities law Stock market Crowdfunding 73rd United States Congress Regulation A Regulation D Securities Act Securities Exchange Act Securities regulation in the United States Form S-1 Initial public offering
97	Robinhood Sweep Program Disclosure Document Introduction Under the Apex FDIC-Insured Sweep Program (the “FDIC-Insured Sweep Program”), dormant cash in your brokerage account at Apex Clearing Corporation (“Apex”) Add to Reading List Source URL: d2ue93q3u507c2.cloudfront.net Language: English - Date: 2016-06-10 17:05:14 Economy Finance Money Bank regulation in the United States Systemic risk Federal Deposit Insurance Corporation Securities Investor Protection Corporation Deposit insurance Deposit account Bank Insurance Insured Network Deposit
98	2,000 PARTICIPATED IN “DASH FOR THE STASH” INVESTOR EDUCATION AND PROTECTION PROGRAM IN LIBRARIES IN FIVE STATES AND D.C. $1,000 Contributions Provided to Six Participants in “Scavenger Hunt”-Like Contest Organiz Add to Reading List Source URL: www.iinvest.org Language: English - Date: 2015-08-20 18:30:27 Economy Finance Money United States securities law Corporate crime U.S. Securities and Exchange Commission Security Insurance commissioner Uniform Securities Act Investor Securities regulation in the United States
99	INSIGHT: MarchWhy new regulation will hit companies hard BY PHIL LLOYD, HEAD OF REGULATORY IMPACT, AND JAMIE MACLEAN, MARKETS REGULATION AT RBS Add to Reading List Source URL: cib.rbs.com Language: English Systemic risk Royal Bank of Scotland Group Financial regulation Great Recession in the United States Presidency of Barack Obama Systemically important financial institution Royal Bank of Scotland Bank DoddFrank Wall Street Reform and Consumer Protection Act Markets in Financial Instruments Directive Central bank RBS Securities
100	H. ROne Hundred Seventh Congress of the United States of America AT THE SECOND SESSION Add to Reading List Source URL: iia-ru.ru Language: English - Date: 2007-01-29 02:02:00 U.S. Securities and Exchange Commission 73rd United States Congress United States corporate law United States securities law Auditing Public Company Accounting Oversight Board SarbanesOxley Act Securities Exchange Act Audit committee Securities Act Security Securities regulation in the United States

UPDATE