SEC Rule 10b-5 - PDFSEARCH.IO - Document Search Engine

SEC Rule 10b-5
Results: 780

#	Item
151	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 12, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-12 16:18:05 Financial regulation New Deal Securities Act SEC Rule 10b-5 Securities regulation in the United States Securities Exchange Act U.S. Securities and Exchange Commission United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
152	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 7, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 14:05:09 73rd United States Congress United States Securities and Exchange Commission Financial system Investment Financial regulation SEC Rule 10b-5 Securities Exchange Act Securities fraud Securities Act United States securities law Stock market Financial economics
153	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
154	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 23, 2014 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-23 14:09:13 Financial regulation 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission United States Securities Exchange Act SEC Rule 10b-5 Securities Act Ameriprise Financial United States securities law 73rd United States Congress United States Securities and Exchange Commission
155	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 12, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-12 16:18:05 Financial regulation New Deal Securities Act SEC Rule 10b-5 Securities regulation in the United States Securities Exchange Act U.S. Securities and Exchange Commission United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
156	INITIAL DECISION RELEASE NO. 715 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: 2014-12-03 16:43:30 United States Securities and Exchange Commission Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Form 10-K Securities and Exchange Commission Form 10-Q Government Securities regulation in the United States SEC Rule 10b-5 SEC filings United States securities law 73rd United States Congress
157	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 25, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-25 10:35:17 Financial regulation Securities Exchange Act Securities Act SEC Rule 10b-5 U.S. Securities and Exchange Commission United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
158	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 22, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-22 12:27:17 Securities United States securities law United States Securities and Exchange Commission Securities fraud Hedge fund Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States SEC Rule 10b-5 Financial economics Finance Investment
159	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]September 25, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-25 11:03:03 Financial regulation Corporate crime U.S. Securities and Exchange Commission Investment Advisers Act Securities Exchange Act SEC Rule 10b-5 Securities Act United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
160	IN THE UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF VIRGINIA Alexandria Division Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-04 13:01:39 73rd United States Congress United States Securities and Exchange Commission Investment Financial system Securities Securities fraud Securities Act Securities Exchange Act SEC Rule 10b-5 United States securities law Stock market Financial economics

UPDATE