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SEC Rule 10b-5
Results: 780

#	Item
641	Microsoft Word[removed]docx Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-09-20 17:27:34 Financial regulation New Deal Securities Act Securities Exchange Act Securities regulation in the United States SEC Rule 10b-5 U.S. Securities and Exchange Commission United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission
642	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 26, 2013 ACCOUNTING AND AUDITING ENFORCEMENT Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-06-26 14:29:24 Finance Public Company Accounting Oversight Board U.S. Securities and Exchange Commission Securities Exchange Act Sarbanes–Oxley Act Securities regulation in the United States SEC Rule 10b-5 Accountant United States securities law Accountancy Business
643	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]December 20, 2013 ACCOUNTING AND AUDITING ENFORCEMENT Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-12-20 13:22:28 SEC Rule 10b-5 Certified Public Accountant Business Finance United States securities law Corporate crime U.S. Securities and Exchange Commission
644	John P. Flannery and James D. Hopkins Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-30 11:32:56 73rd United States Congress Government Financial regulation SEC Rule 10b-5 Securities Exchange Act U.S. Securities and Exchange Commission Appeal Securities Act Securities regulation in the United States United States securities law Law United States Securities and Exchange Commission
645	Eric J. Brown, Matthew J. Collins, Kevin J. Walsh, and Mark W. Wells Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-26 17:09:55 Finance U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission SEC Rule 10b-5 Broker-dealer United States securities law Financial economics Financial system
646	Microsoft Word[removed]CORRECTED Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-02-02 13:48:25 Securities regulation in the United States SEC Rule 10b-5 United States Financial regulation Financial economics United States securities law Health maintenance organization Securities Exchange Act
647	Administrative Proceeding: Gordon A. Driver Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-10 15:29:23 Financial regulation Law Securities Exchange Act U.S. Securities and Exchange Commission Securities Act United States SEC Rule 10b-5 Mark Geragos United States securities law United States Securities and Exchange Commission 73rd United States Congress
648	United States Court of Appeals FOR THE DISTRICT OF COLUMBIA CIRCUIT Argued October 18, 2007 Decided January 11, 2008 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-23 16:37:49 73rd United States Congress Financial regulation Government Corporate crime U.S. Securities and Exchange Commission Securities Act SEC Rule 10b-5 Securities regulation in the United States Securities Exchange Act United States securities law Law United States Securities and Exchange Commission
649	NOT PRECEDENTIAL UNITED STATES COURT OF APPEALS FOR THE THIRD CIRCUIT No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-09-23 16:29:38 Financial economics Investment Stock market 73rd United States Congress United States Securities and Exchange Commission Securities Exchange Act SEC Rule 10b-5 NASDAQ Securities regulation in the United States United States securities law Finance Business
650	No[removed]_________________________ UNITED STATES COURT OF APPEALS FOR THE SECOND CIRCUIT Michael M. Merritt, et al., Add to Reading List Source URL: www.sec.gov Language: English - Date: 2004-12-16 14:37:46 73rd United States Congress Law Economy of the United States Corporate crime SEC Rule 10b-5 Merrill Lynch Securities regulation in the United States Investment Company Act Securities Act United States securities law United States Securities and Exchange Commission Financial regulation

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