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SEC Rule 10b-5
Results: 780

#	Item
741	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 26, 2009 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-01-26 11:51:55 United States Securities and Exchange Commission Business Enron Economy of the United States Financial regulation Securities Act SEC Rule 10b-5 Securities Exchange Act U.S. Securities and Exchange Commission United States securities law Corporate crime 73rd United States Congress
742	[TEMPLATE FOR SETTLED COMBINED CEASE AND DESIST AND ADMINISTRATIVE PROCEEDING] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-02-19 15:49:26 Accounting scandals Business ethics Enron Applied ethics SEC Rule 10b-5 Corporate crime United States securities law Business
743	Request for rulemaking concerning amending Rule 10b5-1 or further interpretive guidance regarding the circumstances under which Rule 10b5-1 trading plans may be adopted, modified, or cancelled Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-02 14:12:02 73rd United States Congress Financial regulation Financial system Economics Stock market Insider trading SEC Rule 10b-5 Securities Exchange Act Securities Act United States securities law United States Securities and Exchange Commission SEC Rule 10b5-1
744	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 27, 2014 ACCOUNTING AND AUDITING ENFORCEMENT Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-27 16:41:25 Finance U.S. Securities and Exchange Commission Public Company Accounting Oversight Board Securities Act Securities Exchange Act SEC Rule 10b-5 Sarbanes–Oxley Act Securities regulation in the United States United States securities law Financial regulation Business
745	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. TP[removed]March 5, 2014 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wrigh Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-03-06 12:35:22 United States securities law Funds Financial markets Financial services Exchange-traded fund Securities regulation in the United States Securities Exchange Act Security Short Financial economics Investment Finance
746	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]June 18, 2014 ACCOUNTING AND AUDITING ENFORCEMENT Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-18 17:29:22 Financial regulation Government Corporate crime U.S. Securities and Exchange Commission Securities Act Securities Exchange Act Securities regulation in the United States SEC Rule 10b-5 Securities and Exchange Commission United States securities law 73rd United States Congress United States Securities and Exchange Commission
747	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]July 9, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-09 17:30:29 Financial regulation Securities Exchange Act Securities Act Government Securities regulation in the United States U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities and Exchange Commission United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
748	SEC Complaint: MICHAEL J. BARON Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-11 11:28:27 Financial regulation Financial system Economics Corruption Insider trading SEC Rule 10b-5 Stryker Corporation Securities regulation in the United States Securities Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
749	CANADIAN IMPERIAL HOLDINGS INC. and CIBC WORLD MARKETS CORP., Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-03-11 13:36:52 United States Securities Exchange Act Securities Act SEC Rule 10b-5 Securities regulation in the United States Securities and Exchange Commission Investment Company Act Canadian Imperial Bank of Commerce Investment Advisers Act United States securities law Financial regulation Government
750	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]May 8, 2014 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-08 16:51:51 Appeal Appellate review Lawsuits Legal procedure SEC Rule 10b-5 Securities Act United States securities law Law United States Securities and Exchange Commission

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