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Securities regulation in the United States
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#	Item
781	:,6HFXULWLHV/DZDQG)UDQFKLVH/DZ)LOLQJV IRUWKURXJK Securities Law Registration Filings Made by Wisconsin Companies with DFI’s Securities Division Firm Name Add to Reading List Source URL: www.wdfi.org Language: English - Date: 2009-12-30 16:19:24 Security Securities regulation in the United States Investment Financial economics United States securities law Form D Government EDGAR SEC filings United States Securities and Exchange Commission Regulation D
782	:,6HFXULWLHV/DZDQG)UDQFKLVH/DZ)LOLQJV IRUWKURXJK Securities Law Registration Filings Made by Wisconsin Companies with DFI’s Securities Division Firm Name Add to Reading List Source URL: www.wdfi.org Language: English - Date: 2010-11-29 11:10:04 Security Regulation D Securities regulation in the United States Investment Financial economics United States securities law Form D Finance SEC filings United States Securities and Exchange Commission Stock market
783	National Credit Union Administration 1775 Duke Street Alexandria, VA[removed]www.ncua.gov Media Contact: NCUA Office of Add to Reading List Source URL: www.ncua.gov Language: English - Date: 2011-12-19 03:21:55 Structured finance Mortgage-backed security United States housing bubble Investment Bank regulation in the United States National Credit Union Share Insurance Fund National Credit Union Administration Residential mortgage-backed security Corporate credit union Financial economics Finance Fixed income securities
784	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-ISE[removed]January 23, 2015 Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commis Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-26 09:19:30 Securities Exchange Act Financial regulation SEC filings U.S. Securities and Exchange Commission International Securities Exchange Government Financial economics Securities regulation in the United States Form 144 United States securities law 73rd United States Congress United States Securities and Exchange Commission
785	National Federation of Municipal Analysts December 9, 1999 Ms. Lynnette Hotchkiss The Bond Market Association Add to Reading List Source URL: www.nfma.org Language: English - Date: 2012-04-04 12:32:52 Investment Stock market United States securities law Corporate crime U.S. Securities and Exchange Commission Securities regulation in the United States Underwriting Securities and Exchange Commission Municipal bond Financial economics Securities Finance
786	Microsoft Word - Fast Take Dodd-Frank Impact on Asset Management Firms v3 Add to Reading List Source URL: www.pwc.ch Language: English - Date: 2013-09-16 01:48:58 Investment Systemic risk Financial services Hedge fund Dodd–Frank Wall Street Reform and Consumer Protection Act Registered Investment Advisor U.S. Securities and Exchange Commission Financial adviser Securities regulation in the United States Financial economics Economics Finance
787	Incoming letter: In the Matter of Oppenheimer & Co. Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-27 11:35:38 United States Securities and Exchange Commission Financial regulation Investment Oppenheimer Holdings Finance Oppenheimer Investment Advisers Act Securities Act Securities Exchange Act United States securities law Financial economics 73rd United States Congress
788	Public Enforcement Practices of Corporate Governance in Asia SURVEY RESULTS FROM 14 JURISDICTIONS Add to Reading List Source URL: www.oecd.org Language: English - Date: 2014-12-09 05:22:07 Law Corporate governance Securities regulation in the United States Listing Rules Regulatory compliance U.S. Securities and Exchange Commission Corporation Capital Market Authority Growth Enterprise Market Corporations law Business Private law
789	Public Enforcement Practices of Corporate Governance in Asia SURVEY RESULTS FROM 14 JURISDICTIONS Add to Reading List Source URL: www.oecd.org Language: English - Date: 2015-01-24 11:21:37 Law Corporate governance Securities regulation in the United States Listing Rules Regulatory compliance U.S. Securities and Exchange Commission Corporation Capital Market Authority Growth Enterprise Market Corporations law Business Private law
790	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]January 28, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-28 16:46:05 Financial services 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities regulation in the United States Financial adviser Economics Pension Investment Financial economics Finance

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