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Securities Act
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#	Item
321	June 29, 2016 Via Electronic Submission (www.sec.gov) Mr. Brent J. Fields, Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC Add to Reading List Source URL: www.investmentadviser.org Language: English - Date: 2016-06-30 13:00:16 Investment Financial adviser Registered Investment Adviser Investment Advisers Act Accredited investor Qualified institutional buyer Hedge fund U.S. Securities and Exchange Commission Regulation D Investor Institutional investor Private equity
322	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Add to Reading List Source URL: www.mediageneral.com Language: English - Date: 2016-03-04 12:06:11 SEC filings 73rd United States Congress U.S. Securities and Exchange Commission Securities Exchange Act Form 8-K Securities Act Regulation S-K
323	Statement of Financial Condition In accordance with requirements of the Securities and Exchange Commission (the “SEC”) under SEC Rule 17a-5, the audited Statement of Financial Condition as of December 31, 2012 of BNP Add to Reading List Source URL: primebroker.com Language: English - Date: 2015-08-27 11:43:46 U.S. Securities and Exchange Commission United States securities law Financial markets 73rd United States Congress Broker-dealer Fixed income market Securities Exchange Act Margin Net capital rule Securities Act
324	BASE PROSPECTUS – 12 JuneAGENCE FRANÇAISE DE DÉVELOPPEMENT EURO 30,000,000,000 Euro Medium Term Note Programme with or without the guarantee of the Republic of France Add to Reading List Source URL: www.afd.fr Language: English - Date: 2015-06-15 09:04:56 Stock market Corporate finance Financial markets Prospectus Public offering Security Securities Act Underwriting Credit rating agency Regulation S-K Red herring prospectus
325	Notes Bearing Interest Published by the Business Law Section of the North Carolina Bar Association • Section Vol. 34, No. 1 • November 2012 • www.ncbar.org The Chair’s Comments The section’s first council meeti Add to Reading List Source URL: www.smithlaw.com Language: English - Date: 2015-10-13 12:01:39 U.S. Securities and Exchange Commission Crowdfunding Stock market United States securities law 73rd United States Congress Regulation A Regulation D Jumpstart Our Business Startups Act Securities Act Securities regulation in the United States Securities Exchange Act SEC filing
326	SECURITIES AND FUTURES ACT (CAPSECURITIES AND FUTURES (DISCLOSURE OF INTERESTS) REGULATIONS 2012 FORM Add to Reading List Source URL: valuemax.listedcompany.com Language: English - Date: 2016-06-07 05:12:03 Corporate finance Stock market Equity securities Security SEC filings Convertible bond Warrant Form 4 Kazakhstan Stock Exchange
327	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-02-10 15:45:44 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States SEC filings
328	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-13 16:11:28 SEC filings U.S. Securities and Exchange Commission 73rd United States Congress Stock market Securities Exchange Act Securities regulation in the United States Schedule TO Security Securities Act
329	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-08-01 11:37:06 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Futures contract Short
330	Short & Simple 1b/2016 The Financial Market Infrastructure and Market Conduct in Securities and Derivatives Trading Act (FMIA; Financial Market Infrastructure Act) – Regulation on Derivatives Trading Add to Reading List Source URL: www.kellerhals-carrard.ch Language: English - Date: 2016-06-28 05:44:16 Financial markets Systemic risk Financial services Corporate law European Market Infrastructure Regulation Derivative Trade Repository Swiss Financial Market Supervisory Authority Counterparty Commodity market Futures contract Specialized investment fund

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