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Open Financial Exchange
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411	August 9, 2012 AN OPEN LETTER TO THE SECURITIES AND EXCHANGE COMMISSION FROM EXECUTIVES OF U.S. SMALL BIOTECHNOLOGY & MEDICAL DEVICE COMPANIES REGARDING JOBS REGULATIONS UNDER THE JOBS Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-14 15:21:53 Rockville Maryland U.S. Securities and Exchange Commission Accredited investor Economics Investment Financial economics Finance
412	1 THE UNITED STATES SECURITIES AND EXCHANGE COMMISSION 2 3 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-22 10:35:00 Financial services Collective investment schemes Funds Mutual fund fees and expenses Institutional investors Expense ratio Mutual fund Open-end fund Financial economics Investment Finance
413	Record of Proceedings of SEC Advisory Committee on Improvements to Financial Reporting Open Meeting, August 2, 2007 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-30 10:11:24 Corporate governance Finance United States corporate law United States securities law 107th United States Congress Sarbanes–Oxley Act Christopher Cox U.S. Securities and Exchange Commission Financial statement Business Accountancy Auditing
414	Microsoft Word - Electronic Trading and Order Routing Systems Disclosure St. Add to Reading List Source URL: www.nfa.futures.org Language: English - Date: 2010-02-09 15:12:44 Investment Finance Open outcry Algorithmic trading Electronic trading Futures contract Chicago Stock Exchange Electronic trading platform Stock market Financial economics Financial markets
415	Initial Decision:Online Gaming Systems Ltd. (n/k/a Advanced Resources Group Ltd.) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-01-29 15:24:31 Securities Exchange Act United States Securities and Exchange Commission Open Verification Methodology Structure Financial economics Finance Windows games United States securities law 73rd United States Congress
416	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. IC-31093; File No[removed]Resource Real Estate Diversified Income Fund and Resource Real Estate, Inc.; Notice of Application June 23, 2014 Agency Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-24 07:56:30 Financial services Funds Institutional investors Stock market Hedge fund Mutual fund Open-ended investment company Net asset value Open-end fund Financial economics Investment Finance
417	NASAA Insight The Voice of State & Provincial Securities Regulation Summer 2014 NASAA’s Streamlined Multi-State Coordinated Review Program For Regulation A Offerings Open for Business Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-06-27 13:05:30 Financial system Business North American Securities Administrators Association U.S. Securities and Exchange Commission Securities Act Regulation D Dodd–Frank Wall Street Reform and Consumer Protection Act Crowd funding Form D United States securities law United States Securities and Exchange Commission Financial regulation
418	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]Absolute Shares Trust, et al.; Notice of Application June 12, 2014 Agency: Securities and Exchange Commission (“Commission”). A Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-13 08:09:55 Financial services Investment company Investment Company Act Investment Advisers Act Unit investment trust Exchange-traded fund Financial adviser Open-ended investment company Closed-end fund Financial economics Investment Funds
419	The Chicago Stock Exchange David A. Herron Chief Executive Officer Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-11-25 16:38:36 Financial system Stock market Chicago Stock Exchange U.S. Securities and Exchange Commission Open outcry Broker-dealer Securities Exchange Act Net capital rule Financial economics Financial markets Investment
420	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application December 23, 2008 Agency: Securities and Exchange Com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-24 10:08:52 Funds Financial services Collective investment schemes Stock market Mutual fund Security Net asset value Exchange-traded fund Open-end fund Financial economics Investment Finance

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