S7 - PDFSEARCH.IO - Document Search Engine

S7
Results: 1828

#	Item
411	MEMORANDUM TO: File No. S7[removed]FROM: Add to Reading List Source URL: www.sec.gov - Date: 2014-10-28 15:28:25
412	SECURITIES AND EXCHANGE COMMISSION [Release No. PA-52; File No. S7[removed]Privacy Act of 1974: Systems of Records. AGENCY: Securities and Exchange Commission. ACTION: Notice to revise two existing systems of records. SUM Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-19 12:26:26 73rd United States Congress United States Securities and Exchange Commission Law Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Securities regulation in the United States Municipal Securities Rulemaking Board United States securities law Government Financial regulation
413	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. S7[removed]October 28, 2014 Joint Industry Plan; Order Approving Amendment No. 32 to the Joint Self-Regulatory Organization Plan Governing the Collection, Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-29 08:19:21 Financial markets NASDAQ Securities Exchange Act Chicago Stock Exchange Direct Edge Financial Industry Regulatory Authority International Securities Exchange NYSE Arca Stock market Self-regulatory organizations Economy of the United States United States securities law
414	MEMORANDUM TO: File No. S7[removed]FROM: Add to Reading List Source URL: www.sec.gov - Date: 2014-10-31 10:52:49
415	SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230 and 270 [Release Nos[removed]; [removed]; IC-31004; File No. S7[removed]RIN 3235-AK50 Investment Company Advertising: Target Date Retirement Fund Names and Marketing AGEN Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-11 12:37:33 Target date fund Mutual fund Dodd–Frank Wall Street Reform and Consumer Protection Act Investment management Asset allocation Risk Rate of return Futures contract Collective investment scheme Financial economics Investment Finance
416	Comments to SEC File No.S7[removed]SEC[removed]due[removed]You state: 32. Should the forward contract exclusion from the swap definition apply to environmental commodities such as emissions allowances, carbon offs Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-07-25 12:54:12 Renewable Energy Certificate Dodd–Frank Wall Street Reform and Consumer Protection Act Energy Financial economics Finance Federal Energy Regulatory Commission Regional transmission organization Futures contract
417	MEMORANDUM To: File No. S7[removed]From: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-04 11:34:05 Fixed income securities United States housing bubble Credit rating agencies Collateralized debt obligation Funds Structured finance Interest rate swap Nationally recognized statistical rating organization Swap Financial economics Finance Investment
418	Corrected to conform to Federal Register version SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230, 239, 270, 274 and 279 Release No[removed], IA-3879; IC-31166; FR-84; File No. S7[removed]RIN 3235-AK61 Money Market Fund Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-19 14:24:24 Funds Financial services Collective investment schemes Institutional investors Money market fund Mutual fund Net asset value Dodd–Frank Wall Street Reform and Consumer Protection Act Federal funds rate Financial economics Investment Finance
419	SECURITIES AND EXCHANGE COMMISSION [Release No. PA-52; File No. S7[removed]Privacy Act of 1974: Systems of Records. AGENCY: Securities and Exchange Commission. ACTION: Notice to revise two existing systems of records. SUM Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-19 12:26:26 73rd United States Congress United States Securities and Exchange Commission Law Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Securities regulation in the United States Municipal Securities Rulemaking Board United States securities law Government Financial regulation
420	Comments of Heidi Stam,The Vanguard Group, on s7-06-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-04-12 11:19:29 Stock market United States securities law Financial markets Mutual fund fees and expenses Prospectus Due diligence U.S. Securities and Exchange Commission Mutual fund Securities offering Financial economics Investment Finance

UPDATE