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Securities regulation in the United States
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#	Item
701	INITIAL DECISION RELEASE NO. 710 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: 2014-11-26 14:29:56 SEC filings Financial regulation Government Securities Exchange Act Securities regulation in the United States Securities and Exchange Commission Securities Act SEC Rule 10b-5 United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
702	Microsoft Word - SORN- 61.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-05 11:08:59 73rd United States Congress United States Securities and Exchange Commission Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Municipal Securities Rulemaking Board United States securities law Financial regulation Government
703	POSITION AND CANDIDATE SPECIFICATION NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION EXECUTIVE DIRECTOR Prepared by: Add to Reading List Source URL: www.nasaa.org Language: English - Date: 2015-01-28 08:41:59 North American Securities Administrators Association Business Canadian securities regulation U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Investor education Securities regulation in the United States Security Securities Commission United States securities law Financial regulation Financial system
704	December 20, 2013 Ms. Elizabeth Murphy Secretary U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C[removed] Add to Reading List Source URL: www.ici.org Language: English U.S. Securities and Exchange Commission Business Dodd–Frank Wall Street Reform and Consumer Protection Act Financial regulation Financial adviser Securities regulation in the United States Financial economics Finance Corporate crime
705	Microsoft Word - Draft letter on 4 5 proposal[removed]_2_ Add to Reading List Source URL: www.ici.org Language: English Financial markets Financial system Commodity Futures Trading Commission National Futures Association Commodity Exchange Act Dodd–Frank Wall Street Reform and Consumer Protection Act Commodity pool Futures contract Securities regulation in the United States Financial economics Commodities market Finance
706	SECURITIES AND EXCHANGE COMMISSION 17 CFR PARTS 240 and 249b [Release No[removed]; File No. S7[removed]RIN 3235-AK84 CONFLICT MINERALS AGENCY: Securities and Exchange Commission. Add to Reading List Source URL: www.meti.go.jp Language: English - Date: 2013-01-09 01:30:47 Conflict minerals Minerals Mining in Rwanda Financial regulation Natural resources United States Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Securities Exchange Act U.S. Securities and Exchange Commission Mining in the Democratic Republic of the Congo Africa United States securities law
707	SEC-58 SYSTEM NAME: System for Enforcement Case Tracking and Routing (SECTR). SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street, NE, Washington, DC[removed]Files may also be maintained in the Commission’ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-10-02 15:22:52 Securities Exchange Act United States Securities and Exchange Commission Financial regulation U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Freedom of Information Act Municipal Securities Rulemaking Board Security United States securities law Government 73rd United States Congress
708	SEC- 64 SYSTEM NAME: SEC Security in the Workplace Incident Records. SYSTEM LOCATION: Securities and Exchange Commission, 100 F Street, NE, Washington, DC[removed]CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-07-21 17:41:51 United States Securities and Exchange Commission Law Financial regulation Corporate crime U.S. Securities and Exchange Commission Privacy Act Securities Exchange Act Securities regulation in the United States Freedom of Information Act United States securities law Government 73rd United States Congress
709	#..SEC-4 System name: Beneficial Ownership, Acquisition, Tender Offer, and Solicitation Records Filed under the Securities Exchange Act of[removed]SEC. System location: Securities and Exchange Commission, Washington, DC 20 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 14:53:51 United States Securities and Exchange Commission Government Financial economics Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Securities and Exchange Commission Security Municipal Securities Rulemaking Board United States securities law Financial regulation 73rd United States Congress
710	#..SEC-27 System name: Name Relationship Search Index (NRSI) System location: Securities and Exchange Commission, Operations Center, 6432 General Green Way, Mail, Stop O-4, Alexandria, VA[removed]. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-08-24 13:25:46 Corporate crime U.S. Securities and Exchange Commission Financial economics Securities regulation in the United States Municipal Securities Rulemaking Board Securities and Exchange Commission Security Securities Exchange Act Securities Fraud Deterrence and Investor Restitution Act United States securities law Government Financial regulation

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