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Securities regulation in the United States
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#	Item
551	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:36:52 United States Securities and Exchange Commission Financial regulation Law U.S. Securities and Exchange Commission Securities Act Consent Government United States securities law Insurance Viatical settlement
552	December 1, 2000 Mr. Jack Drogin Assistant Director Division of Market Regulation Securities and Exchange Commission 450 Fifth Street, N.W. Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-03-21 18:14:53 Financial regulation Financial system New Deal Securities Act Securities regulation in the United States Financial economics U.S. Securities and Exchange Commission Self-regulatory organization Securities Exchange Act United States securities law 73rd United States Congress United States Securities and Exchange Commission
553	SR-FINRA[removed]Extension No. 1 Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:04:29 Securities Exchange Act Financial regulation U.S. Securities and Exchange Commission Securities regulation in the United States Self-regulatory organization Financial system Government United States securities law 73rd United States Congress United States Securities and Exchange Commission
554	DEPARTMENT OF THE TREASURY Add to Reading List Source URL: cdn.americanbanker.com Language: English - Date: 2011-10-05 15:47:51 United States federal banking legislation Systemic risk 111th United States Congress Dodd–Frank Wall Street Reform and Consumer Protection Act Late-2000s financial crisis Presidency of Barack Obama Hedge fund U.S. Securities and Exchange Commission Banking in the United States Financial economics Finance Financial regulation
555	How The 1992 Legislation Will Affect European Financial Services Add to Reading List Source URL: research.stlouisfed.org Language: English - Date: 2009-06-04 15:23:09 Law European Union directives Payment systems Financial regulation Financial markets Undertakings for Collective Investment in Transferable Securities Directives Directive on services in the internal market Single Euro Payments Area Banking in the United States European Union law Financial economics European Union
556	Microsoft Word - Funding Portals Notice Attachment A[removed]) Add to Reading List Source URL: www.finra.org Language: English - Date: 2014-08-12 10:04:40 Securities regulation in the United States Financial regulation U.S. Securities and Exchange Commission Economy of the United States Government United States securities law Financial Industry Regulatory Authority Securities Exchange Act
557	SR-FINRA[removed]Federal Register Notice Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 16:03:07 Finance Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Broker-dealer Self-regulatory organization Security Selling away Securities regulation in the United States United States securities law Financial economics Financial system
558	OMB APPROVAL OMB Number: [removed]Expires: August 31, 2011 Estimated average burden Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 15:50:55 Financial regulation Financial Industry Regulatory Authority Securities Exchange Act Financial system Securities regulation in the United States Business U.S. Securities and Exchange Commission Selling away United States securities law Self-regulatory organizations United States Securities and Exchange Commission
559	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:37:39 Financial regulation United States Financial system United States securities law Securities Act General Securities Representative Exam
560	Microsoft Word - Wang - EE[removed]Final.doc Add to Reading List Source URL: www.law.northwestern.edu Language: English - Date: 2006-11-15 10:16:18 Financial regulation Law Private Securities Litigation Reform Act Financial system Forward-looking statement Securities fraud Securities Act Securities regulation in the United States Securities Exchange Act United States securities law 73rd United States Congress United States Securities and Exchange Commission

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