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U.S. Securities and Exchange Commission
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#	Item
201	Model Rule Exempting Certain Merger & Acquisition Brokers (“M&A Brokers”) From Registration Adopted September 29, 2015* Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-05-06 12:15:35 U.S. Securities and Exchange Commission 73rd United States Congress SEC filings Stock market Securities Exchange Act DoddFrank Wall Street Reform and Consumer Protection Act Security Form 4 Form 144
202	FORM 20-F 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C Add to Reading List Source URL: en.sanofi.com Language: English - Date: 2016-08-01 04:09:31 Financial statements Stock market SEC filings Financial regulation International Financial Reporting Standards Sanofi Income statement Trademark U.S. Securities and Exchange Commission Security Financial capital Franchising
203	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 Legal terms Arbitration Financial Industry Regulatory Authority United States securities law U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Contract DoddFrank Wall Street Reform and Consumer Protection Act Whistleblower Self-regulatory organization Shearson/American Express Inc. v. McMahon
204	Submission Proof - D:\Dropbox (SEC Compliance)\2016 OPERATIONS\2016 EDGAR\04_April\Respi... Page 1 of 39 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C Add to Reading List Source URL: compliance-sec.com Language: English - Date: 2016-04-12 10:41:00 Corporate finance Equity securities Stock market 73rd United States Congress U.S. Securities and Exchange Commission Warrant Security Public offering Securities Act Securities Exchange Act Dropbox Convertible bond
205	The Ontario Securities Commission PROPOSED AMENDMENTS TO NIAND ITS POLICY, NIAND OSC RULEINCLUDING RELATED FORMS) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2016-07-07 10:47:31 Exempt market dealer Investment 73rd United States Congress U.S. Securities and Exchange Commission Canadian securities regulation Securities Act Canadian Securities Administrators Mutual Fund Dealers Association Investment Industry Regulatory Organization of Canada Prospectus Non-reporting issuer Ombudsman for Banking Services and Investments
206	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-01 13:19:30 76th United States Congress 73rd United States Congress U.S. Securities and Exchange Commission Financial markets Futures contract Broker-dealer Investment Advisers Act Derivative Securities Exchange Act Financial adviser Security Securities Act
207	Federal Register / Vol. 77, NoFriday, November 23, Notices SECURITIES AND EXCHANGE COMMISSION [Release No. 34–68252; File No. SR–CBOE– 2012–112] Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:11:07 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act SEC filings
208	D a v i s G r a h a m & S t u b b s L L P Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2013-08-15 17:48:13 76th United States Congress Investment Advisers Act Financial services Financial adviser Adviser U.S. Securities and Exchange Commission Securities Act Family office Securities Fraud Deterrence and Investor Restitution Act Qualified institutional buyer
209	Submission Proof - D:\Dropbox (SEC Compliance)\2016 OPERATIONS\2016 EDGAR\04_April\Respi... Page 1 of 24 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C Add to Reading List Source URL: compliance-sec.com Language: English - Date: 2016-04-07 08:45:55 Corporate finance Stock market 73rd United States Congress U.S. Securities and Exchange Commission Options Dropbox Securities Exchange Act Securities Act Incentive stock option Restricted stock Stock
210	Microsoft Word - 13F_Internet_Appendix_09May2011 Add to Reading List Source URL: financialreg.nd.edu Language: English - Date: 2015-01-12 13:32:20 SEC filings Form 13F Hedge fund Schedule 13D Form D Insider trading Mutual fund U.S. Securities and Exchange Commission Schedule 13G S.A.C. Capital Advisors Paulson & Co.

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