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Securities regulation in the United States
Results: 4123

#	Item
611	RULE Office of the Governor Office of Financial Institutions Compensatory Benefit Plan (LAC 10:XIII.801) In accordance with the Louisiana Securities Law, R.S. 51:701 et seq., and particularly, R.S. 51:709(15), and the Add to Reading List Source URL: www.ofi.louisiana.gov Language: English - Date: 2008-10-20 15:23:00 New Deal Securities Act Securities regulation in the United States Security Financial regulation Financial economics Investment United States securities law United States Securities and Exchange Commission 73rd United States Congress
612	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]FORM 10-Q È QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.morganstanley.com Language: English - Date: 2014-12-05 15:11:20 Business Equity securities Consolidation Financial statements Equity Income tax in the United States Investment banking SEC filings Regulation S-X Finance Accountancy Generally Accepted Accounting Principles
613	[idsrp.doc[removed]HARVARD LAW SCHOOL JOHN M. OLIN CENTER FOR LAW, ECONOMICS AND BUSINESS International Diversity in Securities Regulation: Some Roadblocks on the Way to Convergence Add to Reading List Source URL: www.law.harvard.edu Language: English - Date: 1999-09-11 13:40:30 Public administration International Organization of Securities Commissions U.S. Securities and Exchange Commission Securities Commission Corporate governance Securities regulation in the United States International Financial Reporting Standards Regulation Governance Financial regulation Business Government
614	Microsoft Word - Personal Trading Policy - January 2015.docx Add to Reading List Source URL: brookfieldpropertypartners.com Language: English - Date: 2015-02-10 15:37:46 Economics Insider trading Stock market United States securities law Securities regulation in the United States Securities market Securities fraud Securities Act Corruption Business Finance
615	GAO[removed], POLITICAL INTELLIGENCE: Financial Market Value of Government Information Hinges on Materiality and Timing Add to Reading List Source URL: www.gao.gov Language: English - Date: 2013-04-04 12:06:07 Corruption Insider trading Stock market United States securities law U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Government Accountability Office Ethics in Government Act Financial economics Finance Economics
616	SECURITIES INVESTOR PROTECTION ACT OF[removed]U.S.C. §78aaa-lll, as amended through July 22, 2010 * §78aaa. §78bbb. §78ccc. Add to Reading List Source URL: sipc.org Language: English - Date: 2013-08-19 13:33:39 Securities Investor Protection Corporation Securities Investor Protection Act Finance Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Exchange Act Bankruptcy in the United States Financial economics Financial regulation Investment
617	20 January[removed]Recent Trends in Securities Class Action Litigation: 2014 Full-Year Review Settlement amounts plummet in 2014, but post-Halliburton II filings rebound Add to Reading List Source URL: www.nera.com Language: English - Date: 2015-01-21 16:44:14 Economy of the United States United States Financial regulation Corporate crime Private Securities Litigation Reform Act Halliburton SEC Rule 10b-5 Securities Exchange Act State court United States securities law 73rd United States Congress United States Securities and Exchange Commission
618	SECURITIES AND EXCHANGE COMMISSION Washington, D.C[removed]FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Add to Reading List Source URL: www.morganstanley.com Language: English - Date: 2014-12-05 15:10:51 Dividends House of Morgan SEC filings Stock market Morgan Stanley Income tax in the United States Short Discover Card Regulation S-X Investment Financial economics Finance
619	RULE Office of the Governor Office of Financial Institutions Investment Adviser Registration Procedure (LAC 10:XIII[removed]The Office of the Governor, Office of Financial Institutions, in accordance with the Add to Reading List Source URL: www.ofi.louisiana.gov Language: English - Date: 2008-12-04 10:42:35 Financial services Financial economics Financial regulation Registered Investment Advisor Financial adviser Investment Advisers Act Uniform Investment Adviser Law Exam Financial planner Uniform Combined State Law Exam United States securities law Finance Business
620	Research Proposal for John M Add to Reading List Source URL: www.law.harvard.edu Language: English - Date: 2007-06-04 10:21:22 Finance Auditing Corporate governance United States Securities and Exchange Commission Sarbanes–Oxley Act Securities regulation in the United States Securities market Williams Act Public company United States securities law Business Financial economics

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