U.S. Securities and Exchange Commission - PDFSEARCH.IO - Document Search Engine

U.S. Securities and Exchange Commission
Results: 20323

#	Item
781	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 4, 2015 Admin. Proc. File No Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-03-04 12:27:49 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Registered representative Broker-dealer General Securities Principal Exam SEC Rule 10b-5 United States securities law Financial economics Financial system
782	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 27, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-27 09:24:14 73rd United States Congress Financial regulation Fair Fund Government United States Securities Act Securities Exchange Act Disgorgement U.S. Securities and Exchange Commission United States Securities and Exchange Commission United States securities law Corporate crime
783	Progress in the Implementation of G20/FSB Recommendations – June 2012 Add to Reading List Source URL: www.financialstabilityboard.org Language: English - Date: 2014-09-19 10:17:30 Finance Shadow banking system Dodd–Frank Wall Street Reform and Consumer Protection Act Basel III Hedge fund U.S. Securities and Exchange Commission Basel II IT risk Financial economics Systemic risk Economics
784	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 10, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-10 15:51:13 Financial economics Financial system Finance Financial services Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Registered representative United States securities law 73rd United States Congress United States Securities and Exchange Commission
785	The Best of NERA Audio Broadcast Add to Reading List Source URL: www.sechistorical.org Language: English - Date: 2014-04-27 21:11:38 U.S. Securities and Exchange Commission Davis Polk & Wardwell Center for Audit Quality Business Cravath Swaine & Moore Latham & Watkins Covington & Burling Sidley Austin Economy of the United States Financial markets Law Corporate crime
786	Microsoft Word - Complaint - Janus SpectrumFINAL.doc Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-09 13:35:27 73rd United States Congress New Deal Securities Act United States Securities and Exchange Commission Spectrum management U.S. Securities and Exchange Commission Federal Communications Commission Financial regulation Public administration New Deal agencies United States securities law Government
787	Microsoft Word - fastbook2_march_2015 Add to Reading List Source URL: fiscal.treasury.gov Language: English U.S. Securities and Exchange Commission Government Public administration Social Security Taxation in the United States Federal Reserve System
788	ICSA International Council of Securities Associations Self-Regulation in Financial Markets: An Exploratory Survey ICSA Secretariat Add to Reading List Source URL: www.icsa.bz Language: English - Date: 2012-10-22 07:52:05 Finance Self-regulatory organizations Financial markets Securities Financial services International Organization of Securities Commissions U.S. Securities and Exchange Commission Securities regulation in the United States Canadian securities regulation Financial regulation Financial economics Financial system
789	Trading Suspension: Spriza, Inc. Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-03-04 10:15:54 Financial economics Financial system Self-regulatory organizations 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Securities and Exchange Commission Municipal Securities Rulemaking Board United States securities law Financial regulation United States Securities and Exchange Commission
790	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 11, 2015 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-03-11 06:13:10 United States Securities and Exchange Commission Financial system 73rd United States Congress Financial services Financial markets Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Securities and Exchange Commission Finance United States securities law Financial economics