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Securities offering
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#	Item
561	Minn. Stat. 80A[removed]MNvest Registration Exemption. The offer, sale, and issuance of securities in a MNvest Offering is exempt from the requirements of sections 80A.49 to 80A.54, except 80A.50, paragraph (a), clause (3 Add to Reading List Source URL: mnvest.org Language: English - Date: 2014-12-20 10:04:08 Financial economics Stock market Investment Financial system New Deal Securities Act Securities Exchange Act Security Issuer United States Securities and Exchange Commission United States securities law 73rd United States Congress
562	December 22, 2014 BY EMAIL Secretary Brent J. Fields U. S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-23 06:34:45 Stock market Corporate finance Initial public offering Venture capital Public company Liquidity crisis Private equity secondary market Financial economics Economics Finance
563	Top Investor Threats of 2015 “Regulators are seeing classic threats to investors morph into new or altered dangers, many fueled by the Internet. Overarching all of these threats are unlicensed agents selling unregister Add to Reading List Source URL: www.ofi.state.la.us Language: English - Date: 2014-12-12 14:32:36 Affinity fraud Securities offering Short Ponzi scheme Regulation D Hedge fund Financial economics Finance Investment
564	Transmitted via electronic mail to: [removed] Mr. Brent J. Fields Secretary U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-05 10:17:44 Financial markets Finance Financial regulation Short selling Tick size Order Initial public offering London Stock Exchange U.S. Securities and Exchange Commission Stock market Financial economics Investment
565	Wells Fargo Advisors, LLC Regulatory Policy One North Jefferson Avenue St. Louis, Missouri[removed]HO004[removed] (t) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-23 06:43:10 Stock market Financial markets Financial services Financial regulation Algorithmic trading Initial public offering Collective investment scheme U.S. Securities and Exchange Commission Short Financial economics Investment Finance
566	Cooley Insights: I POs 25 Considerations in Preparing for an IPO Add to Reading List Source URL: www.cooley.com Language: English - Date: 2014-03-21 17:56:56 Auditing United States securities law Corporate governance United States corporate law Corporate finance Sarbanes–Oxley Act Initial public offering Due diligence Mergers and acquisitions Business Accountancy Finance
567	SUBSCRIPTION AGREEMENT FUND-ME OFFERING Name of Company: Offered Securities: Add to Reading List Source URL: maine.gov Language: English - Date: 2014-12-24 10:57:57 Securities Financial markets Financial regulation Accredited investor Subscription Securities Act Securities offering Financial economics Finance Investment
568	Before Investing or Getting Advice have the person offering products/services complete this form, sign it, and return it to you. Verify Add to Reading List Source URL: www.dbo.ca.gov Language: English - Date: 2014-12-02 18:34:22 U.S. Securities and Exchange Commission Business Financial adviser Consumer protection Federal administration of Switzerland Financial economics Toll road Toll-free telephone number Economics Self-regulatory organizations Financial Industry Regulatory Authority United States securities law
569	Fund-ME Short-Form Seed Capital Registration Filing Checklist To help you make sure your filing is complete, we developed this filing checklist. Please complete the checklist and include it as the cover sheet with your F Add to Reading List Source URL: maine.gov Language: English - Date: 2014-12-24 10:57:57 Investment Finance United States securities law United States Securities and Exchange Commission Form D Securities offering Regulation S-K Securities Act SEC filings Stock market Financial economics
570	CSA Notice and Request for Comment Proposed Amendments to Certain National and Multilateral Instruments and Policies Related to the Recognition of Aequitas Neo Exchange Inc. December 11, 2014 Introduction Add to Reading List Source URL: www.albertasecurities.com Language: English - Date: 2014-12-11 11:16:20 Investment Canadian Securities Administrators Securities Act Canadian securities regulation Ontario Securities Commission Security Prospectus Initial public offering Autorité des marchés financiers Stock market Financial economics Financial regulation

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