UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoApril 17, 2015 SECURITIES EXCHANGE ACT OF 1934

First Page		Document Content
Date: 2015-04-17 10:33:45 Finance Financial system 73rd United States Congress 76th United States Congress Financial regulation Regulation D Securities Act Investment Company Act U.S. Securities and Exchange Commission United States securities law United States Securities and Exchange Commission Financial economics		UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoApril 17, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov. Download Document from Source Website File Size: 258,53 KB Share Document on Facebook

	UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ----------------------------------------------------------x UNITED STATES SECURITIES AND : EXCHANGE COMMISSION, DocID: 1t6bI - View Document
	How Widespread and Predictable is Stock Broker Misconduct?∗ Craig McCann, PhD, CFA† Chuan Qin, PhD‡ Mike Yan, PhD, CFA, FRM§ Abstract DocID: 1rpew - View Document
	SR-FINRANotice of Filing and Immediate Effectiveness DocID: 1rngb - View Document
	United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued April 14, 2016 Decided June 14, 2016 DocID: 1rn4k - View Document
	COMPENSATION COMMITTEE CHARTER (updated as of JuneI. Purpose and Authority DocID: 1rmL5 - View Document