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General Exchange Act
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581	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: 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
582	Opinion of the Commission: Ronald Pellegrino Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-22 15:25:45 Business Financial Industry Regulatory Authority Citigroup Security Securities Exchange Act Registered representative U.S. Securities and Exchange Commission Settlement General Securities Representative Exam United States securities law Financial economics Investment
583	Opinion: Timothy P. Pedregon, Jr. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-03-26 15:35:53 Economy of the United States Securities Exchange Act Registered representative U.S. Securities and Exchange Commission General Securities Representative Exam United States Municipal Securities Rulemaking Board United States securities law Financial regulation Financial Industry Regulatory Authority
584	Other Litigation and Legal Activity The Office of General Counsel provides legal services to the Commission concerning its law enforcement, regulatory, legislative, and adjudicatory activities. The office represents the Add to Reading List Source URL: www.sec.gov Language: English - Date: 2002-01-24 12:11:33 Financial regulation 73rd United States Congress Financial system Tort law Private Securities Litigation Reform Act Securities Exchange Act Securities Litigation Uniform Standards Act Securities Act Financial Industry Regulatory Authority United States securities law Law United States Securities and Exchange Commission
585	CHANGES TO SEC REGULATION D – DISQUALIFICATION OF BAD ACTORS AND LIFTING OF THE BAN ON GENERAL SOLICITATION FREQUENTLY ASKED QUESTIONS 1. Where can one find information as to the events that disqualify a person from be Add to Reading List Source URL: www.ofi.state.la.us Language: English - Date: 2013-11-06 12:14:43 Finance Business Financial regulation 73rd United States Congress Stock market Regulation D Securities Act Security Qualified institutional buyer United States Securities and Exchange Commission United States securities law Financial economics
586	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]March 25, 2014 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Chang Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-26 07:57:43 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Securities research Securities Act General Securities Representative Exam Security Financial analyst United States securities law Financial economics Financial system
587	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-04 12:53:19 Business Financial Industry Regulatory Authority Manuel P. Asensio Securities Exchange Act Registered representative Self-regulatory organization U.S. Securities and Exchange Commission NYSE Euronext General Securities Representative Exam United States securities law Finance Investment
588	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. PUBLIC UTILITY HOLDING COMPANY ACT OF 1935 Rel. No[removed]December 29, 2003 Admin. Proc. File No[removed]___________________________________________________ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-12-29 13:43:04 Business Portland General Electric Federal Energy Regulatory Commission Public Utility Holding Company Act Public Utility Regulatory Policies Act Enron scandal Enron Energy in the United States Economy of the United States
589	Opinion of the Commission: Mission Securities Corporation and Craig M. Biddick Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-07 14:43:20 Financial system Financial Industry Regulatory Authority Registered representative Securities Exchange Act General Securities Representative Exam OTC Bulletin Board U.S. Securities and Exchange Commission Security Short United States securities law Financial economics Business
590	Complaint against John R. Easom, et al. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-12-21 16:14:19 Financial regulation Insider trading Securities Exchange Act Vital signs Echeverri Financial Industry Regulatory Authority General Electric Fiduciary U.S. Securities and Exchange Commission United States securities law Law Business

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