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SEC Rule 10b-5
Results: 780

#	Item
201	INITIAL DECISION RELEASE NO. 690 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: 2014-10-14 14:00:47 SEC Rule 10b-5 Securities Act U.S. Securities and Exchange Commission Investment Company Act Scienter Securities Exchange Act United States securities law Law Financial regulation
202	Case 1:14-cv[removed]XXXX Document 1 Entered on FLSD Docket[removed]Page 1 of 12 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF FLORIDA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-16 16:18:19 Finance 73rd United States Congress United States Securities and Exchange Commission Securities Investor Protection Corporation Securities Exchange Act Securities regulation in the United States SEC Rule 10b-5 Mutual fund Security Financial economics United States securities law Investment
203	Mississippi Secretary of State 2008 Business Reform Committees Minutes of Securities Committee June 10, 2008 The first meeting of the Securities Committee was called to order on Tuesday, June 10, 2008 at 11:00 A.M. at th Add to Reading List Source URL: www.sos.ms.gov Language: English - Date: 2013-12-26 14:37:34 Government U.S. Securities and Exchange Commission Uniform Securities Act Securities Litigation Uniform Standards Act Securities Act Private Securities Litigation Reform Act Securities market SEC Rule 10b-5 Secretary of State of Mississippi United States securities law Financial regulation Financial economics
204	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 29, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-29 16:39:10 Financial regulation SEC Rule 10b-5 Securities Exchange Act Securities Act U.S. Securities and Exchange Commission Securities regulation in the United States United States Financial system Central Bank of Denver v. First Interstate Bank of Denver United States securities law 73rd United States Congress United States Securities and Exchange Commission
205	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]October 15, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-15 17:23:39 73rd United States Congress Investment Finance Financial services Registered Investment Advisor Investment Advisers Act U.S. Securities and Exchange Commission Securities Act SEC Rule 10b-5 United States securities law Financial economics United States Securities and Exchange Commission
206	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]October 8, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-08 13:51:54 Investment Advisers Act Financial regulation Government Corporate crime U.S. Securities and Exchange Commission SEC Rule 10b-5
207	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. TP[removed]October 3, 2014 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ProShares Morningstar Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-06 10:00:45 United States securities law Funds Financial services Financial markets Exchange-traded fund Hedge fund Securities Exchange Act Securities regulation in the United States SEC Rule 10b-5 Financial economics Investment Finance
208	Microsoft Word[removed]18_Tamayo Complaint_DRAFT Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-19 13:16:53 United States Securities and Exchange Commission Stock market Economy of the United States Financial economics Financial regulation Securities Exchange Act Securities Act SEC Rule 10b-5 U.S. Securities and Exchange Commission United States securities law Business 73rd United States Congress
209	UNITED STATES DISTRICT COURT FOR THE DISTRICT OF NEBRASKA og ,,,JAJ 1 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-01-10 17:41:35 Financial regulation Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities Act SEC Rule 10b-5 United States Government United States securities law United States Securities and Exchange Commission 73rd United States Congress
210	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]October 14, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-14 13:46:08 Financial regulation Registered Investment Advisor Investment Advisers Act U.S. Securities and Exchange Commission United States Securities Act SEC Rule 10b-5 Securities Exchange Act Government United States securities law 73rd United States Congress United States Securities and Exchange Commission

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