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Securities Exchange Act
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221	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-07 16:26:10 Financial markets Securities Exchange Act Broker-dealer U.S. Securities and Exchange Commission Short Securities regulation in the United States Market maker
222	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.CFORM 20-F REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: i2.esmas.com Language: English - Date: 2010-04-22 14:19:16 Stock market Equity securities Corporate finance Generally Accepted Accounting Principles Financial statements Income statement Shares outstanding Dividend Stock exchange Share Balance sheet Preferred stock
223	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.CFORM 20-F/A (Amendment No. 1) o Add to Reading List Source URL: i2.esmas.com Language: English - Date: 2010-04-22 14:15:20 SEC filings Regulation S-X Securities Act Form 10-K Form S-1 U.S. Securities and Exchange Commission Financial statement Securities Exchange Act SarbanesOxley Act Form 20-F Security Regulation S-K
224	Monetary Authority of Singapore SECURITIES AND FUTURES ACT (CAPGUIDELINES ON THE APPLICATION OF SECTION 339 (EXTRA-TERRITORIALITY) OF Add to Reading List Source URL: www.mas.gov.sg Language: English - Date: 2012-06-20 23:47:09 Law of Singapore Singapore Exchange Security Cayman Islands Directors Registration and Licensing Law Accredited investor
225	Phillip Treasury Fund - Phillip US Dollar Money Market Fund Prospectus Add to Reading List Source URL: phillipfunds.com Language: English - Date: 2016-03-31 03:17:44 Funds Investment Collective investment schemes Financial services Investment fund Money market fund Investment Company Act Unit trust Trust law Prospectus U.S. Securities and Exchange Commission Mutual fund
226	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: www.cboe.com Language: English - Date: 2014-12-02 16:57:16 United States securities law 73rd United States Congress U.S. Securities and Exchange Commission Corporate crime Securities Exchange Act Securities regulation in the United States Financial Industry Regulatory Authority Security Securities Act
227	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-09 13:55:58 73rd United States Congress U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Futures contract New York Stock Exchange National Market System
228	January 5, 2016 Introduction FINRA’s 2016 Regulatory and Examination Priorities Letter identifies both new areas of focus as well as areas of recurring concern. We first address three broad issues—culture, conflicts Add to Reading List Source URL: www.finra.org Language: English - Date: 2016-01-04 17:32:29 United States securities law Self-regulatory organizations Financial Industry Regulatory Authority Broker-dealer Structured product U.S. Securities and Exchange Commission Investment banking Financial analyst Registered representative Brokerage firm ACT Securities regulation in the United States
229	PETER H. SCHWARTZ Partnerfax EXPERTISE Asset Management, Business Formation, Corporate Governance, Mergers & Acquisitions, Private Equity & Venture Capital, and Public Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2016-04-27 18:35:44 76th United States Congress Investment Company Act Stock market DoddFrank Wall Street Reform and Consumer Protection Act Financial Industry Regulatory Authority Insider trading Public Company Accounting Oversight Board U.S. Securities and Exchange Commission Investor Protection and Securities Reform Act
230	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-04-22 12:32:55 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act United States securities law Securities regulation in the United States Regulation S-K Securities Act

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