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SEC Rule 10b-5
Results: 780

#	Item
301	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]August 7, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-07 13:19:16 Government U.S. Securities and Exchange Commission Securities Act Investment Company Act SEC Rule 10b-5 Securities and Exchange Commission Securities Exchange Act United States securities law Financial regulation United States
302	Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright International Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-23 11:21:10 United States securities law Funds Financial markets Financial services Exchange-traded fund Securities regulation in the United States Securities Exchange Act SEC Rule 10b-5 Net asset value Financial economics Investment Finance
303	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]August 1, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-01 13:33:39 Finance 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Financial adviser Hedge fund SEC Rule 10b-5 Financial economics United States securities law Investment
304	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 1, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-01 13:31:03 SEC Rule 10b-5 Law United States Financial regulation United States securities law Moral turpitude Securities Exchange Act
305	Template for Litigated Order for AP Based on Injunction/Conviction ("Follow-On APs") Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-13 10:13:57 Financial regulation Financial economics Finance New Deal Securities Act U.S. Securities and Exchange Commission Securities Exchange Act Investment Advisers Act SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
306	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 5, 2014 ACCOUNTING AND AUDITING ENFORCEMENT Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-02-05 15:28:25 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Financial statement Public Company Accounting Oversight Board SEC Rule 10b-5 Generally Accepted Accounting Principles Business Financial regulation United States securities law United States Securities and Exchange Commission Finance
307	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 24, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-25 06:25:38 Financial regulation New Deal Securities Act Securities regulation in the United States Securities Exchange 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
308	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]August 15, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-15 10:23:26 Law Government Financial regulation SEC Rule 10b-5 U.S. Securities and Exchange Commission Motion Default judgment Securities Act Securities Exchange Act United States securities law United States Securities and Exchange Commission 73rd United States Congress
309	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 29, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-29 14:11:01 U.S. Securities and Exchange Commission Securities and Exchange Commission Financial regulation Government Financial economics United States securities law SEC Rule 10b-5 Securities Exchange Act
310	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 24, 2014 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-07-25 06:25:38 Financial regulation New Deal Securities Act Securities regulation in the United States Securities Exchange 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

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