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United States securities law
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#	Item
971	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 31, 2015 ACCOUNTING AND AUDITING ENFORCEMENT Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-03-31 12:45:54 United States Securities and Exchange Commission Financial regulation Polycom Teleconferencing Financial economics Finance Regulation S-K Securities Exchange Act Securities Act United States securities law SEC filings 73rd United States Congress
972	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-01-20 13:52:47 Auditing United States corporate law Government Financial regulation Business Corporate crime U.S. Securities and Exchange Commission SEC filings
973	“Disclosure is necessary but not sufficient for effective securities regulation”. Discuss. I. Introduction The regulation of information dissemination in free markets is a vital aspect in ensuring that Add to Reading List Source URL: www.timdavis.com.au Language: English - Date: 2008-12-06 02:42:44 Economics Business International Organization of Securities Commissions United States securities law Securities market Canadian securities regulation Securities Commission Institutional investor Insider trading Financial regulation Financial economics Investment
974	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-PhlxApril 23, 2015 Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-23 19:19:36 Financial markets 73rd United States Congress United States Securities and Exchange Commission United States securities law Philadelphia Stock Exchange Finance Securities Exchange Act NASDAQ U.S. Securities and Exchange Commission Economy of the United States Self-regulatory organizations Financial economics
975	I 112TH CONGRESS 1ST SESSION H. R. 1573 Add to Reading List Source URL: www.americanbenefitscouncil.org Language: English - Date: 2014-02-20 18:28:17 Financial system United States federal banking legislation 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Commodity Futures Trading Commission U.S. Securities and Exchange Commission Commodity Exchange Act United States securities law Financial regulation Financial economics
976	Administrative Fine Imposed on the Responsible Person of Kith Holdings Limited 1.Date the fine was imposed: 103年10月8日October 18, Recipient of the fine: Kith Holdings Limited, which is a secondary listing com Add to Reading List Source URL: www.twse.com.tw Language: English - Date: 2014-11-17 03:22:36 Securities Exchange Act Financial regulation United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
977	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: www.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
978	Press ReleaseFine Imposed on the Responsible Person of Taiwan Life Insurance Co., Ltd. Add to Reading List Source URL: www.twse.com.tw Language: English - Date: 2014-10-06 04:47:16 United States securities law Financial regulation 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission
979	SECURITIES AND EXCHANGE COMMISSION (Release No; File No. SR-NASDAQApril 23, 2015 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed R Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-23 19:18:38 Economy of the United States Financial regulation Securities Exchange Act United States U.S. Securities and Exchange Commission NASDAQ SEC filing United States securities law United States Securities and Exchange Commission 73rd United States Congress
980	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoApril 16, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-16 16:17:29 Financial regulation Government SEC filings Finance United States corporate law Securities Act Securities Exchange Act Sarbanes–Oxley Act U.S. Securities and Exchange Commission United States securities law 73rd United States Congress United States Securities and Exchange Commission