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SEC Rule 10b-5
Results: 780

#	Item
141	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]April 2, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-02 14:36:49 Financial regulation Corporate crime U.S. Securities and Exchange Commission United States Investment Advisers Act Securities Act Government Securities Exchange Act SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
142	Whitman v. United States of America, 2014 WL[removed]2014 WL[removed]U.S.) (Appellate Petition, Motion and Filing) Supreme Court of the United States. Douglas F. WHITMAN, Petitioner, v. Add to Reading List Source URL: blogs.reuters.com Language: English - Date: 2014-11-12 16:50:08 Financial regulation Financial system Economics Stock market SEC Rule 10b5-1 Corruption Insider trading SEC Rule 10b-5 Securities Exchange Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
143	Whitman v. United States of America, 2014 WL[removed]2014 WL[removed]U.S.) (Appellate Petition, Motion and Filing) Supreme Court of the United States. Douglas F. WHITMAN, Petitioner, v. Add to Reading List Source URL: blogs.reuters.com Language: English - Date: 2014-11-12 16:39:25 Stock market SEC Rule 10b-5 Fiduciary Citation signal SEC Rule 10b5-1 José A. Cabranes John J. Bursch Law Corruption Insider trading
144	U.S. v. Royer, 549 F.3d[removed]F.3d 886 United States Court of Appeals, Second Circuit. UNITED STATES of America, Appellee, Add to Reading List Source URL: blogs.reuters.com Language: English - Date: 2014-11-12 16:39:27 Law Criminal law Anthony Elgindy Racketeer Influenced and Corrupt Organizations Act Securities fraud Insider trading Venue Conspiracy SEC Rule 10b-5 Crime Inchoate offenses Corruption
145	UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK --------------------------------------x : SECURITIES AND EXCHANGE COMMISSION, : : Add to Reading List Source URL: online.wsj.com Language: English - Date: 2014-11-11 16:57:46 Financial system Fair Fund United States Securities and Exchange Commission Business Insider trading SEC Rule 10b-5 Securities fraud U.S. Securities and Exchange Commission Securities and Exchange Commission Corporate crime Corruption Economics
146	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]November 17, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-17 17:08:46 Investment Advisers Act U.S. Securities and Exchange Commission Securities and Exchange Commission Securities Exchange Act SEC Rule 10b-5 Financial regulation Government United States United States securities law Krinos United States Securities and Exchange Commission
147	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]November 5, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-05 16:17:25 Financial regulation Government Corporate crime U.S. Securities and Exchange Commission Securities Act Securities Exchange Act SEC Rule 10b-5 Securities and Exchange Commission United States United States securities law United States Securities and Exchange Commission 73rd United States Congress
148	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 14, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-14 15:12:49 SEC Rule 10b-5 Disbarment Securities fraud Law United States securities law Securities
149	INITIAL DECISION RELEASE NO. 698 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-23 04:55:32 Securities regulation in the United States Investment Advisers Act SEC Rule 10b-5 Securities and Exchange Commission Financial regulation Government United States United States securities law Securities Exchange Act U.S. Securities and Exchange Commission
150	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 14, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-14 15:14:03 Securities Exchange Act Financial regulation Government Financial economics United States securities law SEC Rule 10b-5 U.S. Securities and Exchange Commission

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