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SEC Rule 10b-5
Results: 780

#	Item
561	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-24 10:35:46 Financial regulation New Deal Securities Act U.S. Securities and Exchange Commission Securities Exchange Act SEC Rule 10b-5 Securities regulation in the United States Government Securities and Exchange Commission United States securities law 73rd United States Congress United States Securities and Exchange Commission
562	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 26, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-02-26 17:30:41 Economics 73rd United States Congress United States Securities and Exchange Commission Corruption Financial services Securities Exchange Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities and Exchange Commission United States securities law Financial economics Financial system
563	Microsoft Word - Complaint (FINAL) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-01-29 09:21:14 Corruption Economics Financial system Insider trading U.S. Securities and Exchange Commission Securities Exchange Act SEC Rule 10b-5 United States securities law Allscripts Financial regulation
564	Microsoft Word - Halliburton v Erica John Fund final brief[removed] Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2014-02-05 16:55:14 Financial economics Securities Litigation Uniform Standards Act Securities fraud U.S. Securities and Exchange Commission Private Securities Litigation Reform Act Financial Industry Regulatory Authority Merrill Lynch Pierce Fenner & Smith Inc. v. Dabit Securities Exchange Act SEC Rule 10b-5 United States securities law Law Financial regulation
565	SEC Complaint: Jack Freedman Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-14 14:18:57 Financial regulation Securities Exchange Act Securities Act SEC Rule 10b-5 Securities regulation in the United States U.S. Securities and Exchange Commission United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
566	SEC Complaint: Thomas Gaffney and Health Sciences Group, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-14 14:24:57 Finance Stock market Financial regulation Short selling Corporate crime Securities Act Short SEC Rule 10b-5 Stock Law Financial economics United States securities law
567	SEC Complaint: Douglas P. Martin and VHGI Holdings, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-14 14:28:12 Financial regulation New Deal Securities Act SEC Rule 10b-5 Securities regulation in the United States Securities Exchange 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
568	SEC Complaint: Richard P. Greene and Peter Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-14 14:36:33 Financial economics Financial regulation Financial system Stock market Securities Exchange Act SEC Rule 10b-5 Securities Act Securities regulation in the United States Securities fraud United States securities law 73rd United States Congress United States Securities and Exchange Commission
569	SEC Complaint: Jeffrey L. Schultz and Redfin Network, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-14 14:32:56 Financial regulation New Deal Securities Act Securities Exchange Act SEC Rule 10b-5 U.S. Securities and Exchange Commission Securities regulation in the United States Government Securities and Exchange Commission United States securities law 73rd United States Congress United States Securities and Exchange Commission
570	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. TP[removed]June 21, 2013 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to ALPS ETF Trust, the Velo Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-06-21 17:51:21 Financial markets Funds United States securities law Financial services Exchange-traded fund Securities regulation in the United States Short Securities Exchange Act SEC Rule 10b-5 Financial economics Investment Finance

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