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SEC Rule 10b-5
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#	Item
331	6cin5nionsNS.TXT0145p-06.txt Add to Reading List Source URL: blogs.orrick.com Language: English - Date: 2013-05-29 15:36:37 73rd United States Congress United States Securities and Exchange Commission SEC Rule 10b-5 Federal Rules of Civil Procedure Class action False Claims Act Demurrer Pleading Securities Exchange Act United States securities law Law Civil procedure
332	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Rel. No[removed]June 19, 2014 Admin. Proc. File No[removed] Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-06-19 15:02:54 Securities Act Financial regulation Government Financial system United States securities law SEC Rule 10b-5 U.S. Securities and Exchange Commission
333	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: edgar.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
334	Administrative Proceeding: Mitchell S. Drucker Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-09 16:56:51 U.S. Securities and Exchange Commission Securities Act Government United States securities law Financial regulation SEC Rule 10b-5
335	Microsoft Word - KAUFMAN EIC MACRO Add to Reading List Source URL: www.law.ua.edu Language: English - Date: 2012-04-12 09:55:27 United States Securities and Exchange Commission Basic Inc. v. Levinson Central Bank of Denver v. First Interstate Bank of Denver SEC Rule 10b-5 Corruption Stoneridge Investment Partners v. Scientific-Atlanta Securities fraud Fraud Securities Act United States securities law Law 73rd United States Congress
336	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
337	Mtr of Drucker; Grievance Committee for the Tenth Judicia Add to Reading List Source URL: www.courts.state.ny.us Language: English - Date: 2013-07-18 10:38:33 Securities Act Appeal Law United States securities law SEC Rule 10b-5
338	INITIAL DECISION RELEASE NO. 640 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: 2014-07-24 16:43:48 United States Securities and Exchange Commission Financial economics Financial regulation 76th United States Congress Investment Advisers Act SEC Rule 10b-5 Investment Advisor U.S. Securities and Exchange Commission Securities regulation in the United States United States securities law Finance 73rd United States Congress
339	EC:TF F. #2004R01040 UNITED STATES DISTRICT COURT EASTERN DISTRICT OF NEW YORK - - - - - - - - - - - - - - - - -X UNITED STATES OF AMERICA Add to Reading List Source URL: www.justice.gov Language: English - Date: 2014-05-19 11:42:52 Securities Securities fraud SEC Rule 10b-5 Security Financial Industry Regulatory Authority Financial system Investment United States securities law Financial economics Corruption
340	Microsoft Word - The Fraud on the Market Tort[removed]docx Add to Reading List Source URL: www.law.harvard.edu Language: English - Date: 2014-10-25 02:16:30 SEC Rule 10b-5 Tort of deceit Central Bank of Denver v. First Interstate Bank of Denver Misrepresentation Tort Damages Stoneridge Investment Partners v. Scientific-Atlanta Scienter Negligence Law Tort law Private law

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