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Securities regulation in the United States
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11	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-13 16:03:28 73rd United States Congress U.S. Securities and Exchange Commission Financial regulation Securities Exchange Act Securities regulation in the United States Futures contract Economy Finance
12	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-28 17:07:21 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act United States securities law Securities regulation in the United States Corporate governance Economy Government Regulation S-K Securities Act
13	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:30 Law Economy Financial Industry Regulatory Authority United States securities law Class action Securities regulation in the United States U.S. Securities and Exchange Commission Fair Labor Standards Act Arbitration Securities Exchange Act Contract
14	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-02-04 10:57:50 Economy Stock market Finance 73rd United States Congress U.S. Securities and Exchange Commission Securities Exchange Act Rebate Security Securities regulation in the United States Market liquidity
15	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-07 12:01:16 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States SEC filings Federal Rules of Civil Procedure Law Government Corporate governance Securities Act
16	The Investment Adviser “Switch” A Report on the 2012 Transition of Mid-Sized Investment Advisers from Federal Registration to Missouri State Regulation August 2012 Missouri Securities Division Add to Reading List Source URL: www.sos.mo.gov Language: English - Date: 2015-06-10 16:04:14 Economy Finance Money Registered Investment Adviser Financial adviser Financial services U.S. Securities and Exchange Commission Securities regulation in the United States Securities Act Adviser DoddFrank Wall Street Reform and Consumer Protection Act Broker-dealer
17	4182 Federal Register / Vol. 78, NoFriday, January 18, Notices At any time within 60 days of the filing of such proposed rule change, the Add to Reading List Source URL: www.batsoptions.com Language: English - Date: 2013-01-22 16:35:43 United States securities law Self-regulatory organizations 73rd United States Congress U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities Exchange Act Law Business Government Selling away Securities regulation in the United States
18	(For Crowdfunding Offerings to be Conducted In-State) INVEST MISSISSIPPI CROWDFUNDING FORM (Exact name of issuer as set forth in the organizational documents) (Insert the names of any DBAs, if applicable) Add to Reading List Source URL: www.sos.ms.gov Language: English - Date: 2016-05-31 15:00:51 U.S. Securities and Exchange Commission Finance United States securities law Money Stock market Economy Regulation D Securities Act Underwriting Security Regulation A Draft:Risk Transfer Guaranty Bond
19	Microsoft Wordindex1.doc Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2016-06-09 10:40:55 Economy Finance Money Canadian Securities Administrators Canadian securities regulation Ontario Securities Commission International Organization of Securities Commissions Securities regulation in the United States Investor Financial regulation Derivative
20	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-03-24 16:47:55 Economy Finance Money U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States Broker-dealer

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