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Securities regulation in the United States
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#	Item
661	SEC Complaint: Lion Capital Management, LLC and Hausmann-Alain Banet Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-10-03 14:42:32 Hedge fund U.S. Securities and Exchange Commission Accredited investor Securities regulation in the United States Securities Act Financial adviser Financial economics Investment Finance
662	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 5, 2015 Admin. Proc. File No[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-05 16:58:16 Finance Financial Industry Regulatory Authority Securities regulation in the United States U.S. Securities and Exchange Commission Securities Exchange Act Self-regulatory organization Security Broker-dealer United States securities law Financial economics Financial system
663	2004 Annual Report SECURITIES IN V ES T OR PRO TEC TION Add to Reading List Source URL: sipc.org Language: English - Date: 2010-03-25 13:03:07 Investment Securities Investor Protection Corporation Securities Investor Protection Act Financial regulation Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Securities Exchange Act Short Recovery of funds from the Madoff investment scandal Financial economics United States securities law Finance
664	SEC Complaint: New Futures Trading International Corporation and Henry Roche Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-11-17 13:15:06 Securities regulation in the United States Securities Act U.S. Securities and Exchange Commission Financial system Brewer Investment Group Financial economics Futures contract Finance
665	SEC Complaint: Spyglass Equity Systems, Inc. et al. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-03-22 11:30:46 U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Securities Exchange Act Stock trader Government Financial regulation United States Securities and Exchange Commission United States securities law Corporate crime
666	The Ontario Securities Commission OSC Bulletin January 8, 2015 Volume 38, Issue[removed]), 38 OSCB Add to Reading List Source URL: www.osc.gov.on.ca Language: English - Date: 2015-01-08 15:32:14 Ontario Securities Commission Securities Act Securities regulation in the United States Securities Commission of New Zealand Financial regulation Government 73rd United States Congress United States Securities and Exchange Commission United States securities law
667	SEC Complaint: Joseph R. Porche et al. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-08-04 16:47:30 United States Securities and Exchange Commission Investment Finance Financial services Financial regulation U.S. Securities and Exchange Commission Securities regulation in the United States Securities Act Securities Exchange Act Financial economics United States securities law 73rd United States Congress
668	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
669	Complaint: Envision Direct L.L.C. and Gary R. Headding Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-03-02 11:58:26 Investment Registered Investment Advisor Financial adviser Financial economics Investment Advisor Securities regulation in the United States Federal Rules of Civil Procedure Business Money Finance 76th United States Congress Investment Advisers Act
670	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 Add to Reading List Source URL: www.morganstanley.com Language: English - Date: 2014-12-05 15:12:05 Generally Accepted Accounting Principles Financial statements Consolidation Income tax in the United States Valuation Equity Federal Reserve System Income statement Regulation S-X Finance Accountancy Business

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