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11	Optionsxpress, Inc., Thomas E. Stern, and Jonathan I. Feldman Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-20 15:08:19 Subpoena duces tecum Subpoena ad testificandum TD Ameritrade Subpoena OptionsXpress Financial economics U.S. Securities and Exchange Commission Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Financial services Legal documents Corporate crime
12	optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-23 14:31:29 Subpoena Financial Industry Regulatory Authority U.S. Securities and Exchange Commission OptionsXpress Discovery Privilege Economy of the United States Financial services Law Subpoena duces tecum Legal documents
13	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]September 5, 2012 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-09-05 14:45:27 Economy of the United States Financial system Dot-com OptionsXpress Self-regulatory organizations Broker-dealer Securities Exchange Act Financial Industry Regulatory Authority Chicago Board Options Exchange United States securities law Financial economics Financial markets
14	Microsoft Word[removed]Corrected.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-01-26 18:24:51 Financial system Chicago Board Options Exchange Securities Exchange Act Securities Industry and Financial Markets Association OptionsXpress Market maker Quote American Stock Exchange Options Price Reporting Authority Financial economics Financial markets Investment
15	OptionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-29 14:07:44 Subpoena ad testificandum Motion Subpoena duces tecum Subpoena Reconsideration of a motion U.S. Securities and Exchange Commission Summary Law Legal documents Legal terms
16	Microsoft Word[removed]Corrected.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-01-29 16:39:42 Financial system Stock market International Securities Exchange United States Securities and Exchange Commission Chicago Board Options Exchange OptionsXpress Securities Industry and Financial Markets Association Securities Exchange Act Options Price Reporting Authority Financial economics Investment Financial markets
17	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 22, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-23 03:04:46 OptionsXpress Financial services Self-regulatory organizations Business Chicago Board Options Exchange Options Clearing Corporation Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority United States securities law Economy of the United States Dot-com
18	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 22, 2013 INVESTMENT COMPANY ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-23 06:28:01 Dot-com OptionsXpress Self-regulatory organizations Business Chicago Board Options Exchange Options Clearing Corporation Securities Exchange Act U.S. Securities and Exchange Commission Financial Industry Regulatory Authority United States securities law Economy of the United States Financial services
19	OPTIONSXPRESS, INC., et al. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-16 18:31:15 Chicago Board Options Exchange Buy-write Brady material Brady v. Maryland Economy of the United States Brady Exculpatory evidence OptionsXpress SEC Rule 10b-5 Financial economics Options Investment
20	Ox Trading, LLC, optionsXpress, Inc., and Thomas E. Stern Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-07 16:36:14 Economy of the United States Financial regulation Dot-com OptionsXpress Financial services U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Exchange Act MERS United States securities law 73rd United States Congress United States Securities and Exchange Commission

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