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SEC Rule 10b-5
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#	Item
451	Christopher A.T. Pedras (aka Chris Pedras aka Antone Thomas Pedras) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-18 14:28:26 Financial regulation Corporate crime U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Exchange Act Securities Act United States Financial system United States securities law United States Securities and Exchange Commission 73rd United States Congress
452	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 18, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-18 13:59:48 Financial regulation Corporate crime U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Exchange Act Securities Act United States Government United States securities law 73rd United States Congress United States Securities and Exchange Commission
453	Time for a Closer Look: New Developments Prompt a Review of the “10b-5” by Adam W. Glass, Partner April[removed]Part 2 – Origins of 10b-5 Letter in the Underwriters’ “Due Diligence” Defense Add to Reading List Source URL: www.linklaters.com Language: English - Date: 2009-06-16 17:04:49 Investment Securities Law 73rd United States Congress United States Securities and Exchange Commission Securities Act Due diligence SEC Rule 10b-5 Prospectus Financial economics United States securities law Stock market
454	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 634/May 21, 2007 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-05-22 10:02:36 Financial regulation Law New Deal Securities Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Administrative law judge Securities Exchange Act United States United States securities law United States Securities and Exchange Commission 73rd United States Congress
455	Release No[removed]July 3, 1996 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-04-10 15:43:28 Financial regulation SEC Rule 10b-5 Securities Exchange Act 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
456	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 24, 2006 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-02-03 17:47:38 Financial economics Financial system Finance Securities Exchange Act Broker-dealer Securities Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities regulation in the United States United States securities law United States Securities and Exchange Commission 73rd United States Congress
457	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]ADMINISTRATIVE PROCEEDINGS RULINGS Release No[removed]December 4, 2013 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-12-04 17:47:20 Financial regulation Corporate crime U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Exchange Act Securities Act Chiappone United States Government United States securities law United States Securities and Exchange Commission 73rd United States Congress
458	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 5, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-05 16:42:49 Financial regulation Financial economics Financial system Securities New Deal Securities Act Securities Exchange Act SEC Rule 10b-5 Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
459	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]April 10, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-04-10 19:25:46 Financial regulation Corporate crime U.S. Securities and Exchange Commission Registered Investment Advisor Investment Advisers Act Securities Act SEC Rule 10b-5 Securities Exchange Act United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
460	Administrative Proceeding: Raymond Rapaglia Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-03 17:07:04 Financial regulation U.S. Securities and Exchange Commission Securities Exchange Act Broker-dealer Securities Act Registered representative Securities and Exchange Commission SEC Rule 10b-5 United States securities law Financial economics Financial system

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