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SEC Rule 10b-5
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541	Microsoft Word - id386rgm.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-08-24 12:50:38 Securities Act SEC Rule 10b-5 Securities Exchange Act U.S. Securities and Exchange Commission Scienter Securities fraud Securities regulation in the United States United States securities law Law Financial regulation
542	INITIAL DECISION RELEASE NO. 242 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-12-05 14:06:51 Financial economics U.S. Securities and Exchange Commission Securities Exchange Act Securities Act Securities fraud Securities regulation in the United States SEC Rule 10b-5 Financial Industry Regulatory Authority United States securities law Financial regulation Financial system
543	Initial Decision dated November 16, 2000 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-03-09 17:30:52 Scienter Securities Exchange Act SEC Rule 10b-5 Law United States securities law Cease and desist
544	[TEMPLATE FOR LITIGATED ORDER FOR ADMINISTRATIVE PROCEEDING BASED ON INJUNCTION/CONVICTION (“FOLLOW-ON APS’)] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-08-16 09:19:04 Business U.S. Securities and Exchange Commission Securities Exchange Act Investment Advisers Act Financial Industry Regulatory Authority SEC Rule 10b-5 Financial adviser United States securities law Financial regulation Financial economics
545	Microsoft Word - ID 334.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-09-20 11:49:26 SEC Rule 10b-5 Securities Exchange Act Scienter Securities regulation in the United States Securities Act Securities and Exchange Commission United States securities law Law Government
546	INITIAL DECISION RELEASE NO. 317 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-08-21 17:29:56 Financial economics Financial system Finance Securities Exchange Act U.S. Securities and Exchange Commission Securities Act SEC Rule 10b-5 Broker-dealer Security United States securities law 73rd United States Congress United States Securities and Exchange Commission
547	ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-21 15:40:02 Law Financial regulation Government Corruption Securities Exchange Act U.S. Securities and Exchange Commission Securities Act Securities fraud SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
548	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 27, 2013 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-29 17:25:03 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Securities Act SEC Rule 10b-5 United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
549	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: 2007-11-28 11:46:37 Stock market Securities Securities fraud Stock exchange SEC Rule 10b-5 U.S. Securities and Exchange Commission Legal burden of proof New York Stock Exchange United States Army Medical Command Law United States securities law Corruption
550	Microsoft Word - Subchapter B Rules.doc Add to Reading List Source URL: www.secretary.state.nc.us Language: English - Date: 2014-08-08 06:40:13 SEC Rule 10b-5 Affidavit Notary Law Notary public

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