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Securities regulation in the United States
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#	Item
41	Smallwood Wealth Management John L. Smallwood, CFP® 199 Broad Street Red Bank, NJ Add to Reading List Source URL: easysite.commonwealth.com Language: English - Date: 2015-10-14 14:38:31 Finance Money Economy Bank regulation in the United States Federal Deposit Insurance Corporation Systemic risk Banking Securities Investor Protection Corporation Deposit insurance Certificate of Deposit Account Registry Service Certificate of deposit Bank
42	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-03-30 15:53:06 Stock market Economy Finance U.S. Securities and Exchange Commission 73rd United States Congress Business Securities Exchange Act Initial public offering Federal Rules of Civil Procedure Securities regulation in the United States Security SEC filing
43	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-06-22 16:35:45 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States Constitutional amendment Economy Financial regulation Finance United States federal banking legislation SEC filing
44	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:33 Law Arbitration Financial Industry Regulatory Authority United States securities law Arbitral tribunal Securities Exchange Act Securities regulation in the United States Forum U.S. Securities and Exchange Commission United States Arbitration Association Consumer arbitration
45	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-07-15 13:41:38 Finance Money Economy Exchange-traded funds IShares SPDR U.S. Securities and Exchange Commission Index fund Securities regulation in the United States Barclays Capital Aggregate Bond Index Security Bond
46	Wall Street Lawyer led to some of the strongest, most productive companies in the world. I think it’s no accident that the American approach to capital markets, including SEC oversight, has been emulated by Add to Reading List Source URL: www.dgslaw.com Language: English - Date: 2015-04-01 10:48:59 Economy Finance Money Corporate crime U.S. Securities and Exchange Commission Securities regulation in the United States DoddFrank Wall Street Reform and Consumer Protection Act Public Company Accounting Oversight Board Securities Act Insider trading Registered Investment Adviser Broker-dealer
47	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-08-05 15:57:28 Finance Money SEC filings Financial regulation U.S. Securities and Exchange Commission Financial markets 73rd United States Congress Securities Exchange Act Futures contract Securities regulation in the United States Market liquidity Schedule TO
48	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-05-13 15:33:24 73rd United States Congress U.S. Securities and Exchange Commission Financial regulation Securities Exchange Act Securities regulation in the United States Finance New York Stock Exchange National Market System Futures contract Economy
49	Mandatory vs. Contractual Disclosure in Securities Markets: Evidence from the 1930s * Paul G. Mahoney (corresponding author) University of Virginia School of Law 580 Massie Road Add to Reading List Source URL: financialreg.nd.edu Language: English - Date: 2016-01-13 13:54:31 73rd United States Congress U.S. Securities and Exchange Commission Economy New Deal Business SEC filings Corporate crime Securities Exchange Act Securities regulation in the United States Securities Act New York Stock Exchange Voluntary disclosure
50	Microsoft Word - Insider Trading PolicyDOC Add to Reading List Source URL: abxair.com Language: English - Date: 2008-10-24 09:43:17 73rd United States Congress U.S. Securities and Exchange Commission Insider trading Corruption Conflict of interest Securities Exchange Act Securities regulation in the United States Securities Act Insider SEC Rule 10b5-1 Kazakhstan Stock Exchange