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401	Submission Proof - D:\Dropbox (SEC Compliance)\2016 OPERATIONS\2016 EDGAR\04_April\Respi... Page 1 of 39 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C Add to Reading List Source URL: compliance-sec.com Language: English - Date: 2016-04-12 10:41:00 Corporate finance Equity securities Stock market 73rd United States Congress U.S. Securities and Exchange Commission Warrant Security Public offering Securities Act Securities Exchange Act Dropbox Convertible bond
402	The Ontario Securities Commission PROPOSED AMENDMENTS TO NIAND ITS POLICY, NIAND OSC RULEINCLUDING RELATED FORMS) Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2016-07-07 10:47:31 Exempt market dealer Investment 73rd United States Congress U.S. Securities and Exchange Commission Canadian securities regulation Securities Act Canadian Securities Administrators Mutual Fund Dealers Association Investment Industry Regulatory Organization of Canada Prospectus Non-reporting issuer Ombudsman for Banking Services and Investments
403	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-01 13:19:30 76th United States Congress 73rd United States Congress U.S. Securities and Exchange Commission Financial markets Futures contract Broker-dealer Investment Advisers Act Derivative Securities Exchange Act Financial adviser Security Securities Act
404	Federal Register / Vol. 77, NoFriday, November 23, Notices SECURITIES AND EXCHANGE COMMISSION [Release No. 34–68252; File No. SR–CBOE– 2012–112] Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:11:07 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act SEC filings
405	D a v i s G r a h a m & S t u b b s L L P Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2013-08-15 17:48:13 76th United States Congress Investment Advisers Act Financial services Financial adviser Adviser U.S. Securities and Exchange Commission Securities Act Family office Securities Fraud Deterrence and Investor Restitution Act Qualified institutional buyer
406	Submission Proof - D:\Dropbox (SEC Compliance)\2016 OPERATIONS\2016 EDGAR\04_April\Respi... Page 1 of 24 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C Add to Reading List Source URL: compliance-sec.com Language: English - Date: 2016-04-07 08:45:55 Corporate finance Stock market 73rd United States Congress U.S. Securities and Exchange Commission Options Dropbox Securities Exchange Act Securities Act Incentive stock option Restricted stock Stock
407	Microsoft Word - 13F_Internet_Appendix_09May2011 Add to Reading List Source URL: financialreg.nd.edu Language: English - Date: 2015-01-12 13:32:20 SEC filings Form 13F Hedge fund Schedule 13D Form D Insider trading Mutual fund U.S. Securities and Exchange Commission Schedule 13G S.A.C. Capital Advisors Paulson & Co.
408	UNITED STATES SECURITIES AND EXCHANGE COMMISSION altERATIONS CENTER ALEXANDRIA. VA 22312 Add to Reading List Source URL: public.resource.org Language: English - Date: 2008-11-01 14:03:32 Corporate crime U.S. Securities and Exchange Commission Carl Malamud SEC filings United States corporate law Electronic Municipal Market Access
409	Microsoft WordDisclosure Summary Add to Reading List Source URL: www.tradition.com Language: English - Date: 2016-06-06 11:35:46 Self-regulatory organizations United States securities law Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Investor Protection Corporation Security Privacy Securities regulation in the United States
410	Department of the Treasury Fiscal Service, Bureau of the Public Debt 31 CFR PartGeneral Regulations Governing U.S. Securities Department of the Treasury Circular 300, as revised and amended As of July 2008 Add to Reading List Source URL: freedom-school.com Language: English - Date: 2015-05-02 12:24:43 73rd United States Congress U.S. Securities and Exchange Commission Security Stock market Bond Securities Exchange Act United States Treasury security Bureau of the Public Debt

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