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Securities regulation in the United States
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#	Item
571	Disciplinary and Other FINRA Actions Firm Suspended, Individual Sanctioned Aura Financial Services, Inc (CRD® #42822, Birmingham, Alabama) and Timothy Michael Gautney (CRD #[removed], Registered Principal, Birmingham, Ala Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-04-11 16:04:41 Financial system Financial Industry Regulatory Authority Securities regulation in the United States Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Securities research Registered representative World Group Securities Municipal Securities Rulemaking Board United States securities law Business Financial economics
572	August[removed]Spooked by Glass-Steagall’s Ghost? By Mark Roe CAMBRIDGE – America’s long-controversial Glass-Steagall Act of 1933, which separated deposit-taking commercial banks from securities-trading investment ba Add to Reading List Source URL: www.law.harvard.edu Language: English - Date: 2012-11-01 11:02:05 Federal Deposit Insurance Corporation Finance Systemic risk 73rd United States Congress Glass–Steagall Act Subprime mortgage crisis Investment banking Banking in the United States Late-2000s financial crisis United States federal banking legislation Financial regulation Economics
573	PLEASE NOTE THE LATER CASE HISTORY OF THIS DECISION, FOLLOWING THE TEXT OF THE DECISION. BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of the Continued Membership Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-07 00:12:16 Financial regulation Financial system Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Registered representative Self-regulatory organization Securities Act Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
574	Chapter 7. Private Offering Exemptions §701. Preliminary Notes A. The exemption contained in §703 of this Chapter is intended to provide a state safe-harbor exemption for private placements similar to the federal exemp Add to Reading List Source URL: www.ofi.louisiana.gov Language: English - Date: 2006-08-03 09:32:54 United States securities law SEC filings 73rd United States Congress Investment Stock market Securities Act Regulation D Security Form D United States Securities and Exchange Commission Financial economics Finance
575	109 STAT[removed]PUBLIC LAW[removed]—DEC. 8, 1995 Public Law[removed]104th Congress Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2013-01-16 15:45:46 76th United States Congress United States securities law Finance Internal Revenue Code Investment Advisers Act Charitable trust Investment Company Act Securities regulation in the United States Charitable organization Law Financial economics Investment
576	RULE Office of the Governor Office of Financial Institutions Broker-Dealer and Investment Adviser Recordkeeping Requirements (LAC 10:XIII.Chapter 17) In accordance with the Louisiana Securities Law, R.S. 51:701 et seq., Add to Reading List Source URL: www.ofi.louisiana.gov Language: English - Date: 2011-08-01 14:36:56 Investment Advisers Act Business U.S. Securities and Exchange Commission Financial adviser Securities regulation in the United States Broker-dealer Registered Investment Advisor Net capital rule Financial economics Finance 76th United States Congress
577	Disciplinary and Other FINRA Actions Firm Suspended, Individual Sanctioned Aura Financial Services, Inc (CRD® #42822, Birmingham, Alabama) and Timothy Michael Gautney (CRD #[removed], Registered Principal, Birmingham, Ala Add to Reading List Source URL: www.finra.org Language: English - Date: 2015-04-06 23:17:30 Financial system Financial Industry Regulatory Authority Securities regulation in the United States Trade Reporting And Compliance Engine U.S. Securities and Exchange Commission Securities research Registered representative World Group Securities Municipal Securities Rulemaking Board United States securities law Business Financial economics
578	As filed with the Securities and Exchange Commission on November 26, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]Form 10-K Add to Reading List Source URL: www.bd.com Language: English - Date: 2014-12-16 19:53:16 SEC filings Becton Dickinson Healthcare Regulation S-K BD Health care in the United States CareFusion Patient safety Form 10-K Medicine Health Medical equipment
579	INITIAL DECISION RELEASE NO. 369 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-01-29 13:09:19 United States securities law 76th United States Congress Investment Advisers Act Hedge fund Securities regulation in the United States Securities Act U.S. Securities and Exchange Commission Securities and Exchange Commission Motion Financial economics Finance Investment
580	Microsoft Word - id371rgm.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-02-24 17:10:59 Investment Advisor U.S. Securities and Exchange Commission Financial adviser Plea bargain Business Securities regulation in the United States Securities and Exchange Commission Law Government Finance 76th United States Congress Investment Advisers Act

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