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SEC Rule 10b-5
Results: 780

#	Item
401	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 18, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-18 17:44:57 Financial regulation Securities Exchange Act SEC Rule 10b-5 Securities 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
402	SEC Complaint: HomePals Investment Club, LLC, HomePals, LLC, Ronnie Eugene Bass, Jr., Abner Alabre and Brian J. Taglieri Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-16 12:27:03 Financial regulation Financial economics Securities regulation in the United States Securities Exchange Act Security Securities Act Securities and Exchange Commission SEC Rule 10b-5 Financial system United States securities law United States Securities and Exchange Commission 73rd United States Congress
403	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]March 4, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-04 16:51:14 Financial regulation SEC filings Corporate crime U.S. Securities and Exchange Commission SEC Rule 10b-5 Motion Regulation S-X Securities Act Securities Exchange Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
404	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 813/August 26, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-26 17:39:09 Financial regulation Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities Act SEC Rule 10b-5 United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
405	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 11, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-11 17:49:03 Financial regulation 76th United States Congress U.S. Securities and Exchange Commission Investment Advisers Act Registered Investment Advisor United States Securities Act Investment Advisor SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
406	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 23, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-23 16:29:32 U.S. Securities and Exchange Commission Wells Fargo Financial regulation Government Financial economics United States securities law SEC Rule 10b-5 Securities Exchange Act
407	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 1, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-02 16:35:52 Financial regulation Securities Exchange Act Financial economics Economics U.S. Securities and Exchange Commission Securities Act Security Aiding and abetting SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
408	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 19, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-19 13:55:22 U.S. Securities and Exchange Commission SEC Rule 10b-5 Defendant Financial regulation Law Government United States securities law 76th United States Congress Investment Advisers Act
409	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 11, 2012 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-11 15:14:15 United States securities law 76th United States Congress Investment Advisers Act Securities and Exchange Commission Securities fraud SEC Rule 10b-5 Broker-dealer Financial adviser Financial economics Financial system Finance
410	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 24, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-24 17:08:16 SEC Rule 10b-5 Securities regulation in the United States Securities Exchange Act U.S. Securities and Exchange Commission Financial regulation Government Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission

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