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SEC Rule 144A
Results: 115

#	Item
31	SNR DENTON LJ SNR Denton US LLP Two World Financial Center 225 Liberty Street New York, NY[removed]USA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-07-15 10:53:22 Financial system Financial regulation 73rd United States Congress Securities New Deal Securities Act Rule 144A Depository Trust & Clearing Corporation Securities Exchange Act United States Securities and Exchange Commission United States securities law Financial economics
32	July 14, 2011 BY ELECTRONIC MAIL Ms. Elizabeth M. Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-07-15 11:21:19 73rd United States Congress Finance Financial economics New Deal Securities Act Securities Exchange Act Rule 144A U.S. Securities and Exchange Commission Regulation D United States Securities and Exchange Commission United States securities law Financial regulation
33	MEMORANDUM October 9, 2012 To: File Nos. S7[removed]and S7-21-11 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-10 13:42:00 Financial regulation Law Rule 144A Troy A. Paredes Securities Act S7 Solicitation Dodd–Frank Wall Street Reform and Consumer Protection Act Wall Street reform United States Securities and Exchange Commission United States securities law United States federal banking legislation
34	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-FINRA[removed]July 19, 2013 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-21 10:42:27 Finance Financial economics 73rd United States Congress Self-regulatory organizations Stock market Financial Industry Regulatory Authority Qualified institutional buyer Securities Act Rule 144A United States securities law United States Securities and Exchange Commission Financial regulation
35	URGENT: Join ACA’s Campaign to Protect Angel Funding and the Startup Ecosystem We Support The Securities and Exchange Commission (SEC) is poised to revisit the existing definition of an individual accredited investor Add to Reading List Source URL: www.angelcapitalassociation.org Language: English - Date: 2014-05-20 11:33:32 United States Securities and Exchange Commission United States securities law Private equity Financial regulation Accredited investor Dodd–Frank Wall Street Reform and Consumer Protection Act Rule 144A Angel Capital Association U.S. Securities and Exchange Commission Financial economics Investment Finance
36	MEMORANDUM October 5, 2012 To: File Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-05 14:04:34 Financial regulation Late-2000s financial crisis Systemic risk Rule 144A Wall Street reform Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Act United States Securities and Exchange Commission United States securities law United States federal banking legislation
37	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NASDAQ[removed]July 8, 2013 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-08 19:08:31 Funds United States Securities and Exchange Commission United States securities law Financial services Rule 144A Exchange-traded fund Qualified institutional buyer Institutional investor Security Financial economics Investment Finance
38	~SIFMA SeCllrtUos Industry and Financial Matkot! ASSOciation January 26, 2010 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-26 15:18:59 Investment Securities United States Securities and Exchange Commission Stock market 73rd United States Congress Securities Act Securities Industry and Financial Markets Association Shelf registration Rule 144A Financial economics United States securities law Finance
39	Comment Letter on File No. S7-18-07 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-10 15:00:33 United States securities law Financial services Equity United States Securities and Exchange Commission Rule 144A Qualified institutional buyer Trust law Mutual fund Investment Company Act Financial economics Law Investment
40	NYSE Euronext 20 Broad Street I 10th Floor New York I NY[removed]t[removed]f[removed]LIFFE USA Limited I Registered in England and Wales no[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-10 09:20:23 Financial markets United States Securities and Exchange Commission United States securities law Corporate crime U.S. Securities and Exchange Commission Rule 144A Broker-dealer Futures contract Christopher Cox Financial economics Financial system Finance

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