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Securities regulation in the United States
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#	Item
601	REGULATORY COMPLIANCE & INSIDER TRADING POLICY SNAP INTERACTIVE, INC. “SNAP” Effective as of May 8, 2013 Add to Reading List Source URL: www.snap-interactive.com Language: English - Date: 2014-01-08 13:47:57 SEC Rule 10b5-1 Economics Financial system Insider trading Financial regulation SEC Rule 10b-5 U.S. Securities and Exchange Commission Securities regulation in the United States Security Stock market United States securities law Corruption
602	PUBLIC LAW[removed]—DEC. 4, [removed]STAT[removed]Public Law[removed]100th Congress Add to Reading List Source URL: www.gpo.gov Language: English - Date: 2013-01-16 15:16:01 73rd United States Congress 76th United States Congress SEC filings United States Government Securities Exchange Act Securities Act Securities regulation in the United States U.S. Securities and Exchange Commission United States securities law United States Securities and Exchange Commission Financial regulation
603	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C[removed]FORM 20-F Add to Reading List Source URL: www.brookfieldrenewable.com Language: English - Date: 2014-04-21 08:45:21 Financial system United States securities law Brookfield Renewable Brookfield Asset Management Securities Act Income tax in the United States Security Short International Financial Reporting Standards Financial regulation Finance Financial economics
604	Case 1:13-cv[removed]RLW Document 37 Filed[removed]Page 1 of 63 UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA NATIONAL ASSOCIATION OF MANUFACTURERS, CHAMBER Add to Reading List Source URL: csr.foleyhoag.wpengine.com Language: English - Date: 2014-07-07 13:12:09 Minerals Mining in Rwanda United States securities law United States Securities and Exchange Commission Financial regulation Due diligence Dodd–Frank Wall Street Reform and Consumer Protection Act Business U.S. Securities and Exchange Commission Law Mining in the Democratic Republic of the Congo Conflict minerals
605	OMB APPROVAL OMB Number: [removed]Expires: June 30, 2010 Estimated average burden Add to Reading List Source URL: www.finra.org Language: English - Date: 2013-03-21 18:36:06 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
606	Trends in Canadian Securities Class Actions: 2014 Update The Docket Continues to Grow as New Filings Outpace Settlements By Bradley A. Heys, Mark L. Berenblut, and Jacob Dwhytie Add to Reading List Source URL: www.nera.com Language: English - Date: 2015-02-09 12:45:29 73rd United States Congress New Deal Securities Act Financial regulation Class action Law United States Form 10-K Regulation S-K SEC filings United States securities law United States Securities and Exchange Commission
607	Market Structure Review SECOND QUARTER[removed]Market structure remained in the spotlight for regulators, Add to Reading List Source URL: www.kcg.com Language: English - Date: 2014-08-04 14:41:35 Finance Stock market Mathematical finance Securities United States Securities and Exchange Commission Flash Crash U.S. Securities and Exchange Commission High-frequency trading Regulation NMS Financial economics Financial markets Investment
608	Microsoft Word - Personal Trading Policy - January 2015.docx Add to Reading List Source URL: www.brookfieldofficepropertiescanada.com Language: English - Date: 2015-02-10 16:38:45 Economics Insider trading Stock market United States securities law Securities regulation in the United States Securities market Securities fraud Securities Act Corruption Business Finance
609	Draft: [removed]Joint Conference Call REINSURANCE (E) TASK FORCE and VALUATION OF SECURITIES (E) TASK FORCE Tuesday, February 24, 2015 1:00 p.m. EASTERN Add to Reading List Source URL: www.naic.org Language: English - Date: 2015-02-20 11:21:24 Financial institutions Financial services Banks Bank regulation in the United States Banking in the United States Bank National bank National Bank Act Savings and loan association United States federal banking legislation Financial regulation Finance
610	0MB APPROVAL 0MB Number[removed]Estimated average burden hours per response 38 Add to Reading List Source URL: dtcc.com Language: English - Date: 2015-02-13 16:37:02 Securities United States securities law 73rd United States Congress United States Securities and Exchange Commission Central Securities Depositories Security Securities Exchange Act Depository Trust & Clearing Corporation Securities regulation in the United States Financial economics Financial system Finance

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