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U.S. Securities and Exchange Commission
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271	OMB APPROVAL OMB Number: Expires: August 31, 2011 Estimated average burden Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2015-03-20 17:10:19 United States securities law Financial Industry Regulatory Authority Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Arbitration Self-regulatory organization
272	NASAA Custody Requirements for Investment Advisers Model Rule 102(eAdopted April 3, 2000, Amended, , , * Rule 102(eCustody of Client Funds or Securities by Investment Advise Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-06-02 12:08:16 Investment United States securities law U.S. Securities and Exchange Commission 76th United States Congress Investment Advisers Act Financial adviser Investment fund Regulation S-X Securities Act Security Accredited investor Registered Investment Adviser
273	CITY OF SANTA ANA FINANCE & MANAGEMENT SERVICES AGENCY SEC Municipal Advisor Rule – Evidence of Independent Registered Municipal Advisor (IRMA) Exception October 1, 2014 Add to Reading List Source URL: www.ci.santa-ana.ca.us Language: English - Date: 2014-10-20 13:24:19 Financial advisors Financial adviser U.S. Securities and Exchange Commission Adviser Municipal Securities Rulemaking Board
274	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-02-01 11:39:46 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States United States securities law Regulation S-K Securities Act
275	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.CFORM 20-F/A (Amendment No. 1) Add to Reading List Source URL: i2.esmas.com Language: English - Date: 2016-05-06 11:40:29 73rd United States Congress U.S. Securities and Exchange Commission SEC filings Stock market Corporate crime Securities Act Securities Exchange Act Security Short Regulation S-K
276	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-01-21 12:08:21 U.S. Securities and Exchange Commission 73rd United States Congress Securities Exchange Act Securities regulation in the United States National Market System SEC filings
277	December 2015.qxp_Dec-2015-NJL:00 PM Page 11 Regulation A Plus A New Tool to Raise Capital by John A. Aiello and Philip D. Forlenza Add to Reading List Source URL: www.ghclaw.com Language: English - Date: 2015-12-14 10:32:09 U.S. Securities and Exchange Commission United States securities law Stock market Crowdfunding 73rd United States Congress Regulation A Regulation D Securities Act Securities Exchange Act Securities regulation in the United States Form S-1 Initial public offering
278	CLIENT MEMORANDUM SEC Proposes Specific Disclosure Simplifications Technical Changes Proposed as Part of Ongoing Disclosure Reforms August 9, 2016 Add to Reading List Source URL: www.willkie.com Language: English - Date: 2016-08-09 12:59:39 SEC filings United States securities law U.S. Securities and Exchange Commission Financial Accounting Standards Board Regulation S-X International Financial Reporting Standards Generally Accepted Accounting Principles Regulation S-K Securities Act Financial statement
279	2,000 PARTICIPATED IN “DASH FOR THE STASH” INVESTOR EDUCATION AND PROTECTION PROGRAM IN LIBRARIES IN FIVE STATES AND D.C. $1,000 Contributions Provided to Six Participants in “Scavenger Hunt”-Like Contest Organiz Add to Reading List Source URL: www.iinvest.org Language: English - Date: 2015-08-20 18:30:27 Economy Finance Money United States securities law Corporate crime U.S. Securities and Exchange Commission Security Insurance commissioner Uniform Securities Act Investor Securities regulation in the United States
280	ABNSecurities Trading Policy 1. Scope (a) This policy applies to all directors, executives, employees, contractors, consultants and advisors (together "Designated Persons") of Greenland Minerals Add to Reading List Source URL: www.ggg.gl Language: English - Date: 2016-03-29 13:04:04 Stock market Insider trading Security Australian Securities Exchange Stock U.S. Securities and Exchange Commission Securities Act

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