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Securities Act
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#	Item
971	EXHIBIT A PLAN TO IMPLEMENT A TICK SIZE PILOT PROGRAM SUBMITTED TO THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-07 10:41:21 Stock market Finance United States Securities and Exchange Commission 73rd United States Congress United States securities law Regulation NMS Order Chicago Stock Exchange Securities Exchange Act Financial markets Financial economics Investment
972	March 15, 2012 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DCRe: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-16 16:23:16 Government Administrative law Decision theory Rulemaking Dodd–Frank Wall Street Reform and Consumer Protection Act Paul Volcker U.S. Securities and Exchange Commission Administrative Procedure Act Law United States administrative law New Deal agencies Politics of the United States
973	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release NoMay 6, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-05-06 16:31:15 Financial regulation Securities Exchange Act SEC Rule 10b-5 Securities Act 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
974	Microsoft WordSTA SSA Joint Letter.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-16 16:54:12 Finance Stock market 76th United States Congress SEC filings Registered Investment Advisor Proxy statement Investment Advisers Act Investment Advisor Financial Industry Regulatory Authority United States securities law Financial economics Business
975	IMPORTANT INFORMATION ABOUT OPENING A NEW ACCOUNT 2014 Add to Reading List Source URL: www.louiscapital.com Language: English Financial regulation Self-regulatory organizations Computer law United States federal banking legislation Investment Securities Investor Protection Corporation Patriot Act Financial Industry Regulatory Authority Internet privacy Privacy law Law Ethics
976	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. NoMarch 27, 2015 Admin. Proc. File No Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-03-27 10:58:56 Finance Financial markets Daniel Imperato United States Securities and Exchange Commission Financial regulation Short selling Securities Exchange Act U.S. Securities and Exchange Commission Investment Company Act United States securities law Financial economics Financial system
977	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No; File NoTennenbaum Opportunities Fund V, LLC, et al.; Notice of Application October 20, 2014 Agency: Securities and Exchange Commi Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-10-21 07:45:03 Private equity Business Development Company Venture capital Security Financial services Financial economics Investment Finance
978	INITIAL DECISION RELEASE NO. 783 ADMINISTRATIVE PROCEEDING File NoUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-04-30 13:33:34 U.S. Securities and Exchange Commission Securities and Exchange Commission Form 10-Q Securities and Exchange Commission Security Finance Financial regulation SEC filings Government Securities Exchange Act
979	SECURITIES & EXCHANGE COMMISSION EDGAR FILING COFFEE HOLDING CO INC Form: 8-K Date Filed: Add to Reading List Source URL: filings.irdirect.net Language: English - Date: 2015-04-02 08:36:11 Finance Financial system Caffeine Coffee Short Securities Act U.S. Securities and Exchange Commission United States securities law Corporate crime Business
980	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-04-14 09:57:29 United States securities law NYSE Arca New York Stock Exchange Securities Exchange Act Pacific Exchange U.S. Securities and Exchange Commission United States Financial regulation NYSE Euronext Economy of the United States 73rd United States Congress United States Securities and Exchange Commission

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