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U.S. Securities and Exchange Commission
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#	Item
31	Independent Accountants’ Report on Applying Agreed-Upon Procedures Related to An Entity’s Claim of Exclusion from Membership in SIPC To the Directors of ______________________________ Add to Reading List Source URL: www.sipc.org Language: English - Date: 2016-05-06 15:57:45 Economy Finance United States securities law Self-regulatory organizations Investment Securities Investor Protection Corporation Corporate crime U.S. Securities and Exchange Commission
32	OMB APPROVAL OMB Number: Estimated average burden hours per response Add to Reading List Source URL: cdn.batstrading.com Language: English - Date: 2016-05-17 13:03:51 Economy Finance Financial markets Money Direct Edge Consolidated Tape Association Securities Exchange Act U.S. Securities and Exchange Commission Securities regulation in the United States Broker-dealer Schedule TO Market data
33	Regulatory Considerations for SEC Registered Municipal Advisors By Matthew C. Boba A Add to Reading List Source URL: www.chapman.com Language: English - Date: 2016-07-28 12:30:08 Economy Finance Money Self-regulatory organizations Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Registered Investment Adviser Municipal bond Financial adviser DoddFrank Wall Street Reform and Consumer Protection Act Electronic Municipal Market Access Financial Industry Regulatory Authority
34	Skipping Questions in School Exams: The Role of Non-Cognitive Skills on Educational Outcomes Mónica Hernández1 University of Michigan Jonathan Hershaff U.S. Securities and Exchange Commission Add to Reading List Source URL: michiganconsortium.org Language: English - Date: 2016-06-01 14:04:14 Education Standardized tests Educational psychology Academic transfer SAT Test Michigan Educational Assessment Program Educational assessment ACT Advanced Placement Graduate Record Examinations Grading systems by country
35	NASAA MODEL NOTICE FILING RULE FOR REGULATION A-TIER 2 OFFERINGS Adopted May 15, 2016* Note: The text of the model rule set forth below is intended to provide model language that states may adopt to require notice filing Add to Reading List Source URL: nasaa.cdn.s3.amazonaws.com Language: English - Date: 2016-05-26 12:00:00 U.S. Securities and Exchange Commission United States securities law SEC filings Economy 73rd United States Congress Finance New Deal Crowdfunding Regulation A Securities Act Security Regulation S-K
36	RAISING CAPITAL: OVERVIEW OF REGISTRATION OF SECURITIES OFFERINGS AND EXEMPTIONS FROM REGISTRATION July 2015 Overview Add to Reading List Source URL: www.azcc.gov Language: English - Date: 2015-07-06 11:26:17 Finance Economy U.S. Securities and Exchange Commission Money United States securities law Crowdfunding 73rd United States Congress Stock market Regulation D Regulation A Securities Act Securities Exchange Act
37	BATS BZX EXCHANGE, INC. RULES OF BATS BZX EXCHANGE, INC. (Updated as of August 5, 2016) TABLE OF CONTENTS Add to Reading List Source URL: www.batsoptions.com Language: English - Date: 2016-08-23 11:25:31 United States securities law U.S. Securities and Exchange Commission Stock market Finance Economy 73rd United States Congress Securities Exchange Act Federal Rules of Civil Procedure Regulation NMS Day trading Money Regulation S-X
38	Microsoft Word - SSWZfinal.doc Add to Reading List Source URL: financialreg.nd.edu Language: English - Date: 2016-01-13 13:54:31 Economy Business economics Business 73rd United States Congress U.S. Securities and Exchange Commission Corporate finance Accounting research Stock market SarbanesOxley Act Voluntary disclosure Securities Act Securities offering
39	Microsoft Word - IAFEI Quarterly table of content _endversion.doc Add to Reading List Source URL: www.iafei.org Language: English - Date: 2012-02-20 22:55:00 Economy Business economics Business Financial regulation International Financial Reporting Standards Hedge fund International Association of Financial Executives Institutes Christopher Cox Financial Accounting Standards Board Generally Accepted Accounting Principles Accounting U.S. Securities and Exchange Commission
40	Portfolio Media. Inc. \| 111 West 19th Street, 5th Floor \| New York, NY 10011 \| www.law360.com Phone: + \| Fax: + \| 12 Common 10-K Mistakes — And How To Find Them La Add to Reading List Source URL: www.corporatesecuritieslawblog.com Language: English - Date: 2016-08-03 14:11:09 SEC filings Business economics Regulation S-K Form 10-K Business Economy Regulation S-X Form 8-K Financial statement U.S. Securities and Exchange Commission Securities Exchange Act Form 10-K405