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General Exchange Act
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#	Item
601	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]April 4, 2014 INVESTMENT COMPANY ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-04 11:27:26 Financial markets United States securities law Financial regulation Short selling Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer General Securities Representative Exam Financial adviser Financial economics Finance Financial system
602	Kent D. Sweat and Intermountain Financial Services, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-31 16:06:05 General Securities Representative Exam Registered representative U.S. Securities and Exchange Commission Securities Exchange Act United States United States securities law Financial regulation Financial Industry Regulatory Authority
603	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-11 12:18:11 Finance Financial Industry Regulatory Authority Registered representative U.S. Securities and Exchange Commission General Securities Principal Exam Broker-dealer Securities regulation in the United States General Securities Representative Exam Securities Exchange Act United States securities law Financial economics Financial system
604	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: 2003-01-31 09:45:13 73rd United States Congress Private Securities Litigation Reform Act Scienter Securities Act Securities Exchange Act Insider trading MERS Merrill Lynch Pierce Fenner & Smith Inc. v. Dabit Securities Litigation Uniform Standards Act Law United States securities law United States Securities and Exchange Commission
605	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.asc.state.al.us Language: English - Date: 2013-04-03 19:38:31 Stock market United States Securities and Exchange Commission Financial services United States securities law Regulation D Private placement Securities Act Securities offering Security Financial economics Investment Finance
606	Court of Appeals Opinion: John M.E. Saad v. U.S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-07 17:38:43 U.S. Securities and Exchange Commission Financial system Securities Exchange Act Self-regulatory organization General Securities Representative Exam Business Selling away United States securities law Financial Industry Regulatory Authority Financial regulation
607	Testimony of Carl W. Hoecker Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-23 15:01:12 Government Dodd–Frank Wall Street Reform and Consumer Protection Act Office of Inspector General U.S. Agency for International Development Office of Inspector General United States Agency for International Development Inspectors general Inspector General U.S. Securities and Exchange Commission
608	GENERAL ASSEMBLY OF NORTH CAROLINA SESSION 2011 S/H D BILL DRAFT 2011-MG-5F* [v[removed]) Add to Reading List Source URL: www.ncdhhs.gov Language: English - Date: 2011-02-17 09:15:24 Health information exchange Medical informatics Health Insurance Portability and Accountability Act Health insurance Health Health informatics Medicine
609	Testimony of H. David Kotz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-23 15:01:14 Inspector General Dodd–Frank Wall Street Reform and Consumer Protection Act United States Department of Justice Financial regulation Government Corporate crime U.S. Securities and Exchange Commission
610	RULES prime market TABLE OF CONTENTS General Add to Reading List Source URL: en.wienerborse.at Language: English - Date: 2011-11-02 03:51:05 Financial economics United States securities law SEC filings 73rd United States Congress Securities Exchange Act United States Securities and Exchange Commission Stock exchange International Financial Reporting Standards Prospectus Stock market Business Finance

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