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Securities regulation in the United States
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#	Item
801	INITIAL DECISION RELEASE NO. 737 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: 2015-01-16 16:52:18 Government U.S. Securities and Exchange Commission Securities Exchange Act Investment Company Act Investment Advisers Act Financial Industry Regulatory Authority Securities regulation in the United States Securities and Exchange Commission SEC Rule 10b-5 United States securities law Financial regulation Financial economics
802	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSE[removed]January 14, 2015 Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Act Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-15 09:17:25 Financial regulation Securities Exchange Act U.S. Securities and Exchange Commission Self-regulatory organization Financial system Government Securities regulation in the United States SEC filing United States Securities and Exchange Commission United States securities law 73rd United States Congress
803	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 21, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-21 16:13:56 Securities Exchange Act SEC Rule 10b-5 Securities regulation in the United States Securities and Exchange Commission Government Financial regulation Financial economics United States securities law 73rd United States Congress United States Securities and Exchange Commission
804	Exhibit A Proposed new language is italicized; proposed deletions are in [brackets]. PLAN TO ADDRESS EXTRAORDINARY MARKET VOLATILITY SUBMITTED TO Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-22 10:51:11 United States securities law Investment 73rd United States Congress Economy of the United States Regulation NMS Stock market Chicago Stock Exchange Securities Exchange Act Alternative Trading Systems United States Securities and Exchange Commission Financial markets Financial economics
805	Magdalena Tavella, Andres Horacio Ficicchia, Gonzalo Garcia Bla Ya, Lucia Mariana Hernando, Cecilia De Lorenzo, Adriana Rosa Bagattin, Daniela Patricia Goldman, Mariano Pablo Ferrari, Mariano Graciarena, and Fernando Lou Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-03 12:30:59 United States securities law Stock market 73rd United States Congress United States Securities and Exchange Commission Short selling Securities Act Securities regulation in the United States Short U.S. Securities and Exchange Commission Financial economics Economics Finance
806	UNITED STATES DISTRICT COURT FOR THE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-08 15:21:34 Securities Investor Protection Corporation U.S. Securities and Exchange Commission Securities regulation in the United States Collective investment scheme Financial economics Investment Finance
807	WI Securities Law and Franchise Law Filings for[removed]through[removed]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: 2015-01-05 11:09:35 Security Stock market Securities regulation in the United States Regulation D Finance Financial economics Investment Form D Securities Exchange Act SEC filings United States Securities and Exchange Commission United States securities law
808	Corrected to conform to the Federal Register version SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 275 Release No. IA-3483; File No. S7[removed]RIN 3235-AJ96 Temporary Rule Regarding Principal Trades With Certain Advisory Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2012-11-07 16:31:18 Financial services 76th United States Congress Investment Advisers Act Investment United States securities law Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Financial adviser Securities regulation in the United States Financial economics Financial regulation Finance
809	Regulation Systems Compliance and Integrity Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-12-08 11:33:08 Financial regulation Financial economics Government Economy of the Philippines Securities Exchange Act U.S. Securities and Exchange Commission Alternative Trading Systems Securities regulation in the United States Securities Act United States securities law United States Securities and Exchange Commission 73rd United States Congress
810	CORRECTED TO CONFORM TO THE FEDERAL REGISTER VERSION SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 275 Release No. IA-3522; File No. S7[removed]RIN 3235-AL28 Temporary Rule Regarding Principal Trades With Certain Advisory Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-12-27 10:18:56 Financial markets 76th United States Congress Investment Advisers Act Trade associations Late-2000s financial crisis Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser Broker-dealer Securities regulation in the United States Financial economics Finance Financial system

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