Securities regulation in the United States - PDFSEARCH.IO - Document Search Engine

Securities regulation in the United States
Results: 4123

#	Item
851	ADOPTED REGULATION OF THE NEVADA STATE COMMISSIONERS OF THE WESTERN INTERSTATE COMMISSION FOR HIGHER EDUCATION LCB File No. R047-14 Effective December 22, 2014 EXPLANATION – Matter in italics is new; matter in brackets Add to Reading List Source URL: www.leg.state.nv.us Language: English - Date: 2014-12-23 18:20:24 Securities Act Regulation Law Public administration Financial regulation United States securities law Accountability Freedom of information legislation
852	THE MANITOBA SEC U RIT I ES CO MMISSI O N IN THE MATTER OF: Add to Reading List Source URL: www.msc.gov.mb.ca Language: English - Date: 2014-12-18 16:12:09 Securities Act United States Securities and Exchange Commission Financial regulation Economy of the United States Law United States securities law 73rd United States Congress New Deal
853	NOT FOR DISTRIBUTION TO UNITED STATES NEWSWIRE SERVICES OR FOR DISSEMINATION IN THE UNITED STATES CRICKET MEDIA COMPLETES SHARES FOR DEBT TRANSACTION AND ANNOUNCES AMENDMENT TO REVOLVING CREDIT FACILITY Washington, DC - Add to Reading List Source URL: s3.amazonaws.com Language: English - Date: 2014-12-19 16:51:27 73rd United States Congress New Deal Securities Act Security Financial regulation Financial economics Investment United States securities law United States Securities and Exchange Commission Stock market
854	Securities Branches Contact Information WE REGULATE: The Compliance Branch is responsible for registration of securities professionals. Call us to check the background of your financial adviser or sales agent[removed]- Add to Reading List Source URL: cca.hawaii.gov Language: English - Date: 2014-11-13 15:44:33 Investment Security Stock market Financial adviser Securities fraud Investor education Securities regulation in the United States Fraud Pyramid scheme Business Financial economics Economics
855	The Importance of “Bad Actor” Compliance for Web Sites Matching Companies Seeking Capital with Accredited Investors In this article I highlight the importance of performing “bad actor” checks for all parties invo Add to Reading List Source URL: s3.amazonaws.com Language: English - Date: 2014-12-11 22:05:10 Financial regulation Finance 73rd United States Congress Investment Regulation D Securities Act U.S. Securities and Exchange Commission Crowd funding Securities regulation in the United States United States securities law Financial economics United States Securities and Exchange Commission
856	Blanket Order No. 31 IN THE MATTER OF THE SECURITIES ACT R.S.N 1990, CHAPTER S-13, AS AMENDED (the "Act") AND IN THE MATTER OF THE PROMPT OFFERING QUALIFICATION SYSTEM Add to Reading List Source URL: www.servicenl.gov.nl.ca Language: English - Date: 2014-12-03 13:00:08 Investment 73rd United States Congress United States Securities and Exchange Commission Finance SEC filings Securities Act Prospectus Security Regulation S-K Stock market United States securities law Financial economics
857	Martha Redding Chief Counsel Assistant Corporate Secretary NYSE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-02 11:12:38 SEC filings Financial regulation Stock market Securities Exchange Act Finance U.S. Securities and Exchange Commission Government Security Securities regulation in the United States United States securities law 73rd United States Congress United States Securities and Exchange Commission
858	EBA/RTS[removed]December 2013 EBA FINAL draft Regulatory Technical Standards On the determination of the overall exposure to a client or a group of connected clients in respect of transactions with underlying assets u Add to Reading List Source URL: www.eba.europa.eu Language: English - Date: 2014-08-04 10:52:18 Structured finance Investment Bank regulation United States housing bubble Exposure at default Tranche Basel III Credit risk Credit enhancement Finance Financial economics Fixed income securities
859	Borden Ladner Gervais LLP Scotia Plaza, 40 King St W Toronto, ON, Canada M5H 3Y4 T[removed]F[removed]blg.com Add to Reading List Source URL: ccmr-ocrmc.ca Language: English - Date: 2014-12-19 14:04:22 Finance Financial services Canadian securities regulation Securities Act Collective investment scheme Government procurement in the United States Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Investment Canadian law
860	Norfolk Southern Corporation & Subsidiaries For the Year[removed] Add to Reading List Source URL: www.nscorp.com Language: English - Date: 2015-01-22 19:07:22 SEC filings Regulation S-K Form 10-K Norfolk Southern Railway U.S. Securities and Exchange Commission Norfolk Virginia Norfolk and Western Railway Corporation Securities Commission Rail transportation in the United States Transportation in the United States Transportation in North America

UPDATE