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

SEC Rule 10b-5
Results: 780

#	Item
31	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 4, 2015 Admin. Proc. File No Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-03-04 12:27:49 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Registered representative Broker-dealer General Securities Principal Exam SEC Rule 10b-5 United States securities law Financial economics Financial system
32	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoApril 9, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-09 12:19:16 73rd United States Congress United States Securities and Exchange Commission Business Financial regulation Vodafone Securities Exchange Act SEC Rule 10b-5 AirTouch Securities Act United States securities law SEC filings Finance
33	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 24, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-24 16:09:19 Financial economics Economics 73rd United States Congress United States Securities and Exchange Commission Corporate finance Securities Exchange Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Insider trading United States securities law Corruption Financial system
34	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoMarch 4, 2015 Admin. Proc. File No Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-03-04 12:27:49 Finance Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Registered representative Broker-dealer General Securities Principal Exam SEC Rule 10b-5 United States securities law Financial economics Financial system
35	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 13, 2015 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-13 16:03:03 Financial regulation Corporate crime U.S. Securities and Exchange Commission Investment Advisers Act Registered Investment Advisor Securities Act Securities Exchange Act SEC Rule 10b-5 United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
36	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoApril 9, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-09 12:19:16 73rd United States Congress United States Securities and Exchange Commission Business Financial regulation Vodafone Securities Exchange Act SEC Rule 10b-5 AirTouch Securities Act United States securities law SEC filings Finance
37	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoFebruary 23, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-23 17:18:36 Financial regulation Registered Investment Advisor Securities Exchange Act Investment Advisers Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Act United States Financial system United States securities law United States Securities and Exchange Commission 73rd United States Congress
38	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 15, 2015 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-04-15 13:15:50 U.S. Securities and Exchange Commission Securities Exchange Act SEC Rule 10b-5 Government United States United States securities law Financial regulation Investment Advisers Act
39	PDF Document Add to Reading List Source URL: www.hks.harvard.edu Language: English - Date: 2013-12-17 11:08:01 Market manipulation SEC Rule 10b-5 Financial system Financial regulation Financial economics Enron Federal Energy Regulatory Commission United States securities law Commodity Futures Trading Commission
40	HONG KONG INSTITUTE FOR MONETARY RESEARCH DOES INSIDER TRADING RAISE MARKET VOLATILITY? Julan Du and Shang-Jin Wei Hong Kong Institute for Monetary Research Add to Reading List Source URL: www.hkimr.org. Language: English - Date: 2012-09-26 02:29:52 Financial system Stock market Mathematical finance Insider trading Securities fraud Insider Volatility U.S. Securities and Exchange Commission SEC Rule 10b-5 Corruption Finance Economics

UPDATE