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SEC Rule 10b-5
Results: 780

#	Item
531	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: 2007-12-03 12:39:09 SEC Rule 10b-5 Financial regulation Government United States United States securities law Securities Exchange Act U.S. Securities and Exchange Commission
532	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]May 15, 2012 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-05-15 16:29:25 SEC Rule 10b-5 Securities Exchange Act U.S. Securities and Exchange Commission Financial regulation Government Financial economics United States securities law 73rd United States Congress United States Securities and Exchange Commission
533	Initial Decision: Michael C. Pattison, CPA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-10-03 10:55:42 Judgment Judgment as a matter of law Scienter Pattison Summary order SEC Rule 10b-5 Motion U.S. Securities and Exchange Commission Summary judgment Law United States securities law Civil procedure
534	Initial Decision-On question of interim suspension of registrant Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-12-28 14:08:23 Finance Securities Exchange Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Broker-dealer Regulation S-K United States securities law Financial economics Financial system
535	Microsoft Word - ID 266.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-10-28 12:09:01 SOLV Federal Rules of Civil Procedure Campbell Law SEC Rule 10b-5 United States securities law Ex parte
536	Microsoft Word - ID 336.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-25 16:43:16 Financial regulation Government Securities Exchange Act Securities Act SEC Rule 10b-5 Securities regulation in the United States U.S. Securities and Exchange Commission Securities and Exchange Commission Motion United States securities law 73rd United States Congress United States Securities and Exchange Commission
537	Finality Order, Release No[removed], October 8, 1996 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-03-26 14:31:38 Financial regulation SEC Rule 10b-5 Securities Exchange Act Securities Act United States Financial system Securities Fraud Deterrence and Investor Restitution Act SEC Rule 10b5-1 United States securities law 73rd United States Congress United States Securities and Exchange Commission
538	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: 2007-12-03 12:37:45 Financial economics Finance 73rd United States Congress SEC Rule 10b-5 Financial markets Securities Exchange Act U.S. Securities and Exchange Commission Plea bargain Regulation D United States securities law United States Securities and Exchange Commission Law
539	ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED SECURITIES Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-26 18:03:49 Investment Business Corporate crime U.S. Securities and Exchange Commission Investment Advisor SEC Rule 10b-5 Financial adviser Money Finance United States securities law Financial economics
540	Commission Opinion, Release No[removed], April 26, 1967 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-03-20 10:58:12 Financial system Securities Exchange Act U.S. Securities and Exchange Commission Securities Act SEC Rule 10b-5 Short Financial Industry Regulatory Authority United States securities law Financial regulation Financial economics

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