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SEC Rule 10b-5
Results: 780

#	Item
521	Initial Decision-Private Proceedings Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-12 12:00:59 Financial system Finance United States Securities and Exchange Commission Financial regulation Short selling Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer SEC Rule 10b-5 United States securities law Financial economics Financial markets
522	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: 2007-11-21 15:48:46 Finance Wedbush Securities U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities and Exchange Commission Securities Exchange Act Security Broker-dealer Financial economics United States securities law Investment
523	ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED SECURITIES Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-13 11:00:42 Financial economics Economy of the United States United States Securities Exchange Act SEC Rule 10b-5 Securities Act Market maker NASDAQ United States securities law 73rd United States Congress United States Securities and Exchange Commission
524	(I ADMINISTRATIVE PROCEEDINC FILE NO[removed]UNITED SECURITIES Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-28 12:10:30 Financial regulation Financial economics Stock market Securities Exchange Act U.S. Securities and Exchange Commission Securities Act Investment Security SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
525	Microsoft Word - id384rgm.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-08-07 15:01:17 Securities Act Scienter U.S. Securities and Exchange Commission SEC Rule 10b-5 Motion Securities regulation in the United States United States securities law Law Securities Exchange Act
526	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: 2007-11-26 11:08:45 Government Securities Exchange Act U.S. Securities and Exchange Commission Investment Company Act Securities Act SEC Rule 10b-5 Investment Advisers Act Appeal United States securities law Law Financial regulation
527	ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-03 10:44:15 Financial regulation Government Securities Exchange Act U.S. Securities and Exchange Commission Securities Act Securities and Exchange Commission SEC Rule 10b-5 United States United States securities law United States Securities and Exchange Commission 73rd United States Congress
528	FILE COPY UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-02-26 18:02:06 Financial economics Finance Financial system Financial regulation Short selling U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Act Short United States securities law 73rd United States Congress United States Securities and Exchange Commission
529	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: 2007-11-09 15:23:01 Financial regulation Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Securities Act Government SEC Rule 10b-5 Securities and Exchange Commission United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
530	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: 2007-11-14 15:45:46 Financial economics Finance Financial system Securities Exchange Act Securities Act Security Securities and Exchange Commission Short SEC Rule 10b-5 United States securities law United States Securities and Exchange Commission 73rd United States Congress

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