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701	Enforcement The SEC’s enforcement program seeks to promote the public interest by protecting investors and preserving the integrity and efficiency of the securities markets. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2001-08-13 15:07:42 Corruption Primary dealers Securities Corporate crime Business ethics Securities fraud Merrill Lynch Goldman Sachs CUC International Business Investment Financial economics
702	Michael I. Falcon Managing Director Head of Retirement Group Global Private Client 1400 Merrill Lynch Drive 4th Floor South Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:08:12 Financial services Pension Collective investment schemes Defined contribution plan Fiduciary Mutual fund Defined benefit pension plan Employee Retirement Income Security Act Investment Policy Statement Financial economics Investment Economics
703	Senior Supervisors Group Leading-Practice Disclosures for Selected Exposures April 11, 2008 LEADING-PRACTICE DISCLOSURES FOR SELECTED EXPOSURES Add to Reading List Source URL: www.newyorkfed.org Language: English - Date: 2012-01-31 14:52:01 Structured finance United States housing bubble Fixed income securities Mortgage-backed security Bonds Collateralized debt obligation Subprime mortgage crisis Merrill Lynch High-yield debt Financial economics Finance Investment
704	UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No[removed]November 20, 2007 _________________________________________ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-21 13:38:59 Investment Company Act U.S. Securities and Exchange Commission Financial regulation Financial services Economy of the United States Primary dealers 76th United States Congress Merrill Lynch
705	Bank of America Corporation Resolution Plan - July 2014 Add to Reading List Source URL: federalreserve.gov Language: English - Date: 2014-07-02 16:30:31 Financial economics Investment banks Bank of America Investment banking Merrill Lynch UBS Dodd–Frank Wall Street Reform and Consumer Protection Act ING Group Société Générale Primary dealers Investment Financial services
706	UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No[removed]November 20, 2007 _________________________________________ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-21 13:39:17 Investment Company Act U.S. Securities and Exchange Commission Financial regulation Financial economics Financial services Primary dealers 76th United States Congress Merrill Lynch
707	Office of Inspector General Report 522, Investigation of the Circumstances Surrounding the SEC’s Proposed Settlements with Bank of America, Including a Review of the Court’s Rejection of the SEC’s First Proposed Se Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-30 15:37:54 Financial services Inspectors general Inspector General Bank of America U.S. Securities and Exchange Commission Jed S. Rakoff Troubled Asset Relief Program Merrill Lynch United States Department of Justice Primary dealers Economy of the United States Government
708	Board of Governors of the Federal Reserve System International Finance Discussion Papers Number 1075 March[removed]Asymmetric Information and Add to Reading List Source URL: www.federalreserve.gov Language: English - Date: 2013-04-01 12:28:38 Fixed income securities Mortgage-backed security Structured finance United States housing bubble Bonds Collateralized debt obligation Credit rating agency Merrill Lynch Subprime mortgage crisis Financial economics Finance Investment
709	Microsoft Word - Halliburton v Erica John Fund final brief[removed] Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-02-05 16:55:14 Financial economics Securities Litigation Uniform Standards Act Securities fraud U.S. Securities and Exchange Commission Private Securities Litigation Reform Act Financial Industry Regulatory Authority Merrill Lynch Pierce Fenner & Smith Inc. v. Dabit Securities Exchange Act SEC Rule 10b-5 United States securities law Law Financial regulation
710	Microsoft Word - IA-2971.DOC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-12 11:13:30 Primary dealers BlackRock Business Investment Advisers Act Merrill Lynch Financial adviser Registered Investment Advisor Investment Advisor Finance Financial economics Financial services

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