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Short selling
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#	Item
701	Microsoft Word - Adopting Release v 21 _FINAL - Conforms to FR version_ _2_.doc Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2009-08-04 08:36:45 Finance Financial regulation United States securities law Financial markets Naked short selling Locate Short Failure to deliver U.S. Securities and Exchange Commission Financial economics Short selling Business
702	THE SEC PROPOSAL ON MARKET STRUCTURE: HOW WILL INVESTORS FARE? HEARING BEFORE THE Add to Reading List Source URL: democrats.financialservices.house.gov Language: English - Date: 2007-02-11 23:00:00 Vito Fossella Financial regulation Short selling Paul E. Kanjorski New York Stock Exchange U.S. Securities and Exchange Commission Money Short Securities and Exchange Commission Finance Business Financial markets
703	The convenience of the Internet — for staying in touch with old friends, The Honorable Connie Lawson Indiana Secretary of State Add to Reading List Source URL: www.ai.org Language: English - Date: 2014-10-24 17:19:12 Business Securities Investing online U.S. Securities and Exchange Commission Short Securities fraud Madoff investment scandal Selling away Financial economics Finance Investment
704	OCC[removed]Attachment) 71 FR 8932 Add to Reading List Source URL: www.ots.treas.gov Language: English - Date: 2014-12-01 16:42:25 Financial markets Securities United States housing bubble Short selling Repurchase agreement Mark-to-market accounting Short Securities market Security Finance Financial economics Business
705	Complaint: Securities and Exchange Commission, Plaintiff, vs. Bruce Palmer and AccessKey IP, Defendants Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-07 14:37:04 Financial economics Finance Financial system Stock market Short selling Securities Exchange Act Securities Act Securities and Exchange Commission SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
706	Business and Commercial Litigation Newsletter December 2011 \| Issue 12 We are pleased to present the Bernstein Shur Business and Commercial Litigation Newsletter. This month we highlight news related to securities law de Add to Reading List Source URL: www.bernsteinshur.com Language: English - Date: 2011-12-21 10:05:24 U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Robert Khuzami Fannie Mae Securities regulation in the United States Business Law Angelo Mozilo Naked short selling United States securities law Economy of the United States Corporate crime
707	ROBERTA CROSS GUNS Special Assistant Attorney General 840 Helena Avenue Helena, MT[removed]2040 Attorney for Securities Department Add to Reading List Source URL: sao.mt.gov Language: English - Date: 2011-10-07 10:49:20 Financial regulation Short Short selling Business Corporate finance Financial economics Financial markets Finance
708	Release No[removed]; File Number SR-NASD[removed]Short Sale Delivery Requirements Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-15 17:17:56 Financial regulation Financial system Short selling United States Securities and Exchange Commission Securities Exchange Act Locate Financial Industry Regulatory Authority Securities Act Self-regulatory organization United States securities law Financial economics Finance
709	Complaint: Securities and Exchange Commission, Plaintiff, vs. John “Buckeye” Epstein, Steven E. Humphries, Earthworks Entertainment, Inc., and The Fight Zone, Inc., Defendants Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-10-07 14:39:50 Financial economics Financial system Finance Financial regulation Short selling Securities Act Securities and Exchange Commission Securities regulation in the United States SEC Rule 10b-5 United States securities law 73rd United States Congress United States Securities and Exchange Commission
710	To address this concern, the Division issued an open letter regarding business brokering, dated 7 May 2009, to explain that engaging in business brokering activities may require licensing as a broker-dealer or agent. Wh Add to Reading List Source URL: securities.utah.gov Language: English - Date: 2014-04-14 15:44:30 Financial markets United States securities law Financial regulation Short selling Financial services Business broker Securities Exchange Act Short Broker-dealer Business Finance Financial economics

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