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SEC Rule 10b-5
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471	1 KAREN MATTESON, Cal. Bar No[removed]DIANA K. TANI, Cal. Bar No[removed]JANET RICH WEISSMAN, Cal. Bar No[removed]Attorneys for Plaintiff Securities and Exchange Commission 4 Randall R. Lee, Regional Director Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-12-18 10:01:37 Financial regulation Government SEC filings Law Securities Exchange Act Form 10-K U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
472	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]November 22, 2013 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-11-22 08:03:54 Financial regulation Government New Deal Securities Act Securities Exchange Act SEC Rule 10b-5 Securities and Exchange Commission Regulation D Financial economics United States securities law United States Securities and Exchange Commission 73rd United States Congress
473	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 9, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-10 09:51:10 Financial economics Financial regulation Financial system Securities Exchange Act Securities Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Broker-dealer Securities and Exchange Commission United States securities law 73rd United States Congress United States Securities and Exchange Commission
474	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 9, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-10 09:35:18 Financial regulation Government Securities Exchange Act Securities Act U.S. Securities and Exchange Commission Peter Paul Rubens Securities and Exchange Commission SEC Rule 10b-5 United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
475	Microsoft Word - SEC complaint - Berkowitz Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-22 11:30:08 United States Securities and Exchange Commission SEC Rule 10b-5 Securities regulation in the United States Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Securities Commission Financial regulation Politics United States securities law Government 73rd United States Congress
476	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 31, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-10-31 13:09:30 73rd United States Congress Financial regulation Financial system Securities Securities fraud U.S. Securities and Exchange Commission SEC Rule 10b-5 Financial economics Securities Exchange Act United States securities law United States Securities and Exchange Commission Corporate crime
477	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]September 30, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-09-30 13:44:14 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Securities Act SEC Rule 10b-5 Securities and Exchange Commission Government United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
478	INITIAL DECISION RELEASE NO. 526-A 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: 2013-11-19 19:24:19 Financial economics Financial regulation Financial system Securities Exchange Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities regulation in the United States Securities and Exchange Commission Broker-dealer United States securities law United States Securities and Exchange Commission 73rd United States Congress
479	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]March 11, 2014 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-11 12:22:59 United States Securities and Exchange Commission Financial regulation Government Finance United States corporate law Securities Exchange Act Securities Act Sarbanes–Oxley Act SEC Rule 10b-5 United States securities law SEC filings 73rd United States Congress
480	TO: ________________________________________________________ CC: SEC Comments on File Number S7-09-13, FINRA, FraudAid, VictimsofFraud, Senate Banking Committee, House Judicial Committee, Various Universities debating Cr Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-18 15:45:25 Sarbanes–Oxley Act Securities fraud Fiduciary Securities Act Fraud Securities regulation in the United States Crowd funding Affinity fraud Law United States securities law SEC Rule 10b-5

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