General Exchange Act - PDFSEARCH.IO - Document Search Engine

General Exchange Act
Results: 639

#	Item
571	#..SEC-31 System name: Office of General Counsel (Adjudication) Working Files-SEC. System location: Securities and Exchange Commission, Washington, DC[removed]Categories of individuals covered by the system: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:58:00 Law Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Freedom of Information Act Securities Fraud Deterrence and Investor Restitution Act Regulation S-K United States securities law Financial regulation Government
572	#.. SEC-30 System name: Office of General Counsel Work Files--SEC. System location: Securities and Exchange Commission, Washington, DC[removed]Categories of individuals covered by the system: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:28:06 73rd United States Congress United States Securities and Exchange Commission Financial economics Self-regulatory organizations Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Municipal Securities Rulemaking Board United States securities law Financial regulation Government
573	1316 Federal Register / Vol. 79, No. 5 / Wednesday, January 8, [removed]Rules and Regulations Part A, Subpart III, Section 44701: General requirements.’’ Under that Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2014-01-08 04:13:56 Credit rating agencies United States housing bubble Nationally recognized statistical rating organization Financial markets Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Asset-backed security Repurchase agreement Net capital rule Financial economics Finance Economics
574	SEC-26 SYSTEM NAME: Confidential Treatment Request Imaging System-SEC. SYSTEM LOCATION: Securities and Exchange Commission, Operations Center, Freedom of Information Act and Privacy Act Operations, 6432 General Green Way Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:24:51 Freedom of information legislation Public records Internet privacy Medical privacy Privacy Office of the U.S. Department of Homeland Security Ethics Privacy Freedom of Information Act
575	Are you an informed investor? Private Placements In 2012 , Congress passed the JOBS Act, which directs the Securities and Exchange Commission (SEC) to implement rules that, among other things, allow general solicitation Add to Reading List Source URL: www.in.gov Language: English - Date: 2014-07-01 02:49:59 Stock market United States Securities and Exchange Commission United States securities law Financial services Regulation D Securities Act Securities offering Private placement Security Financial economics Finance Investment
576	Testimony of H. David Kotz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-23 15:01:14 Dodd–Frank Wall Street Reform and Consumer Protection Act Inspector General Financial regulation Government Financial economics Late-2000s financial crisis Corporate crime U.S. Securities and Exchange Commission
577	RULES OF PRACTICE TABLE OF CONTENTS [Note: See amended version at http://www.sec.gov/about/rulesofpractice.shtml] GENERAL RULES . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-01-06 10:44:47 Motion Rulemaking Service of process Securities Exchange Act Subpoena ad testificandum Law Civil procedure Federal Rules of Civil Procedure
578	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No[removed]January 14, 2005 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-01-18 17:13:04 U.S. Securities and Exchange Commission Registered representative Charles Schwab Corporation General Securities Representative Exam Financial services Financial regulation United States securities law Securities Exchange Act Financial economics
579	3 AAC[removed]GENERAL PROVISIONS RELATING TO SMALL CORPORATE OFFERINGS. (a) As an alternative to a registration procedure under this chapter, a corporation or limited liability company issuing securities that are exempt Add to Reading List Source URL: commerce.alaska.gov Language: English - Date: 2013-12-16 16:11:55 United States securities law Stock market Investment 73rd United States Congress Finance Securities Act Regulation D Security Securities regulation in the United States United States Securities and Exchange Commission SEC filings Financial economics
580	Recommendations of the Investor Advisory Committee Regarding SEC Rulemaking to Lift the Ban on General Solicitation and Advertising in Rule 506 Offerings: Efficiently Balancing Investor Protection, Capital Formation and Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-15 14:11:51 Investment Financial system SEC filings Regulation D United States securities law Securities Act Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Form D Financial economics United States Securities and Exchange Commission Finance

UPDATE