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Securities regulation in the United States
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#	Item
991	[removed]Federal Register / Vol. 79, No[removed]Monday, October 20, [removed]Notices FEDERAL DEPOSIT INSURANCE CORPORATION Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2014-10-20 10:33:14 Government Deposit insurance Prompt Corrective Action Federal Deposit Insurance Act Municipal Securities Rulemaking Board Sheila Bair Depositors Insurance Fund Federal Deposit Insurance Corporation Bank regulation in the United States Financial regulation
992	Illinois Secretary of State Securities Department Additional Information Required by Section[removed]b[removed]and (7) of the Rules for Registration Add to Reading List Source URL: www.cyberdriveillinois.com Language: English - Date: 2012-02-06 10:25:39 Financial regulation New Deal Securities Act Securities Exchange Act Securities regulation in the United States Financial economics United States United States securities law United States Securities and Exchange Commission 73rd United States Congress
993	805 King Farm Blvd, Suite 100 Rockville, MD[removed]USA October 29, 2014 Nasdaq.com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-29 14:18:06 Stock market Financial economics Finance Investment Securities Exchange Act SEC filings U.S. Securities and Exchange Commission Securities regulation in the United States NASDAQ United States securities law 73rd United States Congress United States Securities and Exchange Commission
994	Microsoft Word - unscanned electronic signature copy statement of mandate[removed]docx Add to Reading List Source URL: nssc.novascotia.ca Language: English - Date: 2014-04-03 10:06:19 Canadian securities regulation 73rd United States Congress United States Securities and Exchange Commission Securities Act Investment Company Act Securities regulation in the United States Nova Scotia Securities Commission of New Zealand Law United States securities law Financial regulation Canadian law
995	November 6, 2014 Via E-Mail to [removed] Brent J. Fields Secretary, Securities and Exchange Commission 100 F Street, NE Washington, DC[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 09:02:24 Financial Industry Regulatory Authority Investment Securities Arbitral tribunal Arbitration U.S. Securities and Exchange Commission Securities regulation in the United States Securities Industry and Financial Markets Association Securities Exchange Act United States securities law Financial economics Financial system
996	INVE STOR ADVOCACY CLINIC Mailing Address: P.O. Box 4037 At lanta, GA[removed]In Person: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 09:04:35 Financial regulation Arbitral tribunal Arbitration U.S. Securities and Exchange Commission Securities Exchange Act Mediation Government Arbitration in the United States United States securities law Law Financial Industry Regulatory Authority
997	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]November 6, 2014 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Ru Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-07 08:34:28 Business Financial Industry Regulatory Authority Securities Exchange Act Self-regulatory organization U.S. Securities and Exchange Commission Registered representative Securities regulation in the United States General Securities Principal Exam Broker-dealer United States securities law Financial economics Financial system
998	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]May 2, 2012 SECURITIES AND EXCHANGE COMMISSION SUSPENDS TRADING IN THE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-05-02 07:31:42 Financial regulation Finance Securities Exchange Act Financial system U.S. Securities and Exchange Commission Securities and Exchange Commission Form 144 Net capital rule United States Securities and Exchange Commission United States securities law 73rd United States Congress
999	THE MANITOBA SECURITIES IN THE MATTER OF: THE SECURITIES ACT Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-10-09 15:14:57 United States Securities and Exchange Commission United States securities law Financial regulation Law United States 73rd United States Congress New Deal Securities Act
1000	Solicitation of Interest Form (3 AAC[removed]TO: Administrator of Securities Division of Banking and Securities Add to Reading List Source URL: www.commerce.state.ak.us Language: English - Date: 2014-04-10 12:24:15 73rd United States Congress Financial regulation Corporate crime U.S. Securities and Exchange Commission Securities Act Crime Solicitation Securities regulation in the United States Diaeresis United States securities law United States Securities and Exchange Commission Law