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General Exchange Act
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#	Item
611	Testimony of H. David Kotz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-05-23 15:01:15 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
612	SKSE SECURITIES LIMITED ANTI MONEY LAUNDERING POLICY 1. Introduction 1.1 The Guidelines as outlined below provides a general background on the subjects of money laundering and terrorist financing summarizes the main pro Add to Reading List Source URL: www.sksesl.com Language: English - Date: 2012-02-10 03:22:48 Economics Tax evasion Money laundering Securities and Exchange Board of India Act Terrorism financing Suspicious activity report Security Bank Tax haven Business Finance Financial regulation
613	THE COMMITTEE ON ENERGY AND COMMERCE MEMORANDUM July 14, 2014 To: Members, Subcommittee on Health Add to Reading List Source URL: docs.house.gov Language: English - Date: 2014-07-14 09:34:40 Patient Protection and Affordable Care Act Presidency of Barack Obama Inspector General Health insurance exchange United States Department of Health and Human Services Health Government Office of Inspector General U.S. Department of Health and Human Services Healthcare reform in the United States 111th United States Congress Health policy
614	SECURITIES AND EXCHANGE COMMISSION Washington D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 26, 2014 Admin. Proc. File No[removed]In the Matter of the Application of Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-26 17:34:38 Finance Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Self-regulatory organization Registered representative General Securities Representative Exam United States securities law Financial economics Financial system
615	SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 Release No[removed]; File No. S7[removed]STATEMENT OF GENERAL POLICY ON THE SEQUENCING OF THE COMPLIANCE DATES FOR FINAL RULES APPLICABLE TO SECURITY-BASED SWAPS ADOPTED Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-06-15 14:01:17 Finance 73rd United States Congress United States Securities and Exchange Commission Systemic risk Late-2000s financial crisis Dodd–Frank Wall Street Reform and Consumer Protection Act Derivative Credit default swap Securities regulation in the United States Financial economics Financial regulation United States securities law
616	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION April 4, 2014 SECURITIES EXCHANGE ACT OF 1934 Release No[removed]April 4, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-07 12:44:01 Financial regulation U.S. Securities and Exchange Commission John Toland Wells notice General Securities Representative Exam Securities Exchange Act United States United States securities law United States Securities and Exchange Commission Financial Industry Regulatory Authority
617	Letter From Eric Swanson, SVP & General Counsel, BATS Exchange, Inc., to Elizabeth M. Murphy, Secretary, U.S. Securities and Exchange Commission Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-06-07 15:58:19 Finance Equity securities Corporate finance United States Securities and Exchange Commission United States securities law Covered security American depositary receipt Security Securities Act Financial economics Stock market Investment
618	Request for rulemaking to amend Rule 502(c) of Regulation D to eliminate the prohibition on offers or sales of securities by general solicitation or general advertising with respect to private funds Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-01-10 08:47:43 Financial services 76th United States Congress Institutional investors Collective investment schemes Hedge fund Regulation D U.S. Securities and Exchange Commission Investment Company Act Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Investment Finance
619	Request for rulemaking to amend Section 14 of the Securities Exchange Act of 1934 to facilitate the use of universal proxy cards in contested elections Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-09 12:59:10 Stock market Private law Proxy statement Statements Corporate governance Proxy fight Board of directors Annual general meeting Dodd–Frank Wall Street Reform and Consumer Protection Act Corporations law Business SEC filings
620	Daniel Covello: Order Approving Application for Relief from a Statutory Disqualification Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-13 11:29:31 Financial system U.S. Securities and Exchange Commission Financial Industry Regulatory Authority General Securities Representative Exam Registered representative Securities Exchange Act Broker-dealer Security Securities and Exchange Commission United States securities law Financial economics Finance

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