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Securities regulation in the United States
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#	Item
501	POLICY REFORMULATION TABLE OF CONCORDANCE AND LIST OF NEW INSTRUMENTS Policy Reformulation Table of Concordance To assist market participants in identifying the status of instruments that existed before the Policy Reform Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2015-02-05 23:39:18 Securities United States Securities and Exchange Commission Stock market United States securities law Prospectus Securities Act Ontario Securities Commission Canadian securities regulation Securities regulation in the United States Financial economics Investment Finance
502	APX VCS REGISTRY REGULATED PERSON ATTESTATION The undersigned, in the name and on behalf of ____________________________ (“Account Holder”), represents, warrants and covenants to APX, Inc. (“Administrator”), as a Add to Reading List Source URL: www.vcsregistry.com Language: English - Date: 2014-02-07 17:21:31 Finance Investment Advisers Act Financial adviser Employee Retirement Income Security Act Investment Company Act Financial regulation Financial services Securities Fraud Deterrence and Investor Restitution Act 76th United States Congress Investment Financial economics
503	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 2, 2015 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-02 16:48:17 Financial regulation Financial system Business Financial Industry Regulatory Authority OTC Bulletin Board U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Self-regulatory organization United States securities law 73rd United States Congress United States Securities and Exchange Commission
504	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 25, 2015 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-25 12:30:48 United States securities law 73rd United States Congress United States Securities and Exchange Commission Registered Investment Advisor Investment Advisers Act Financial adviser U.S. Securities and Exchange Commission Securities regulation in the United States Securities Exchange Act Financial economics Finance Financial system
505	Implementation monitoring of the PFMI: Level 2 assessments for central counterparties and trade repositories in the European Union, Japan and the United States Add to Reading List Source URL: www.iosco.org Language: English - Date: 2015-02-26 09:26:10 Securities Commission of New Zealand Financial regulation International finance institutions International Organization of Securities Commissions
506	Page 22 of 31 EXHIBIT 5 Exhibit 5 shows the text of the proposed rule change. Proposed new language is underlined; proposed deletions are in brackets. *** Text of Proposed New FINRA Rule Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-24 09:13:44** Municipal Securities Rulemaking Board Financial regulation Economy of the United States Federal Rules of Civil Procedure Law Securities Exchange Act Self-regulatory organizations United States securities law Financial Industry Regulatory Authority
507	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 09:36:30 Finance Financial regulation Investment Financial adviser Business U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Securities regulation in the United States Registered Investment Advisor Financial economics 76th United States Congress Investment Advisers Act
508	Advisory Committee on Small and Emerging Companies (Notice of Meeting) Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-23 10:39:15 Securities regulation in the United States United States securities law Corporate governance Financial regulation Government Business Corporate crime U.S. Securities and Exchange Commission SEC filings
509	Case 3:15-cv[removed]Document 1 Filed[removed]Page 1 of 12 PageID #: 1 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF LOUISIANA __________________________________________ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-19 17:38:27 Economics Insider trading Securities Exchange Act Stock Securities regulation in the United States Security Securities and Exchange Commission Stock market Financial economics Investment
510	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]February 13, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-13 15:33:16 Financial regulation New Deal Securities Act Securities regulation in the United States U.S. Securities and Exchange Commission Securities Exchange Act SEC Rule 10b-5 United States Financial system United States securities law 73rd United States Congress United States Securities and Exchange Commission

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