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U.S. Securities and Exchange Commission
Results: 20323

#	Item
451	Putnam OTC Emerging Growth Fund Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-05-22 10:16:55 U.S. Securities and Exchange Commission Financial regulation Government 76th United States Congress Investment Company Act United States securities law
452	Microsoft PowerPoint - Financial Institution Frequent Comments - final120409-1.ppt Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-07 12:47:20 Corporate crime U.S. Securities and Exchange Commission
453	Division of Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-01-09 16:41:46 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer U.S. Securities and Exchange Commission Investment Advisers Act Short Net capital rule Financial economics Financial markets Finance
454	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. NoMay 7, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-05-07 15:46:38 Financial Industry Regulatory Authority Securities Exchange Act Registered Investment Advisor U.S. Securities and Exchange Commission Security PINO Debits and credits General Securities Representative Exam Sales United States securities law Business Finance
455	#..SEC-12 System name: Hearings, Proceedings and Studies--SEC. System location: Securities and Exchange Commission, Washington, DCDuplicate copies of these records may be maintained by SEC Regional and District Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2007-08-24 13:10:35 Corporate crime U.S. Securities and Exchange Commission Securities Exchange Act Securities regulation in the United States Securities and Exchange Commission Municipal Securities Rulemaking Board Financial economics Securities Fraud Deterrence and Investor Restitution Act Mutual fund scandal United States securities law Financial regulation Government
456	U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Release NoApril 7, 2015 The U.S. Securities and Exchange Commission announced the temporary suspension of trading Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-04-07 06:36:14 Finance Financial system 73rd United States Congress Securities Exchange Act U.S. Securities and Exchange Commission Securities and Exchange Commission Security Form 144 Net capital rule United States securities law Financial economics United States Securities and Exchange Commission
457	Proposed Rule: Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected with a Non-U.S. Person’s Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-05-11 17:13:17 Financial system 73rd United States Congress United States Securities and Exchange Commission Commodity Futures Trading Commission Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Securities Exchange Act Derivative Securities Act Financial regulation Financial economics United States securities law
458	Division of Trading and Markets No-Action Letter: SIFMA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-11 10:59:43 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Broker Financial economics Finance Financial markets
459	U.S. Securities and Exchange Commission Tips, Complaints, and Referrals (TCR) Repository PRIVACY IMPACT ASSESSMENT (PIA) September 30, 2013 Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-02-05 10:57:42 Policy Privacy policy Internet privacy U.S. Securities and Exchange Commission Ethics Privacy Data privacy
460	ALEXANDERS INC Reported by WIGHT RUSSELL B JR FORM 4 Add to Reading List Source URL: www.alx-inc.com Language: English Investment Economics United States securities law United States Securities and Exchange Commission 73rd United States Congress Form 4 Security Securities Exchange Act U.S. Securities and Exchange Commission Stock market Financial economics SEC filings

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