Fixed Income Clearing Corporation Files SEC Proposed Rule Change

From: lmhstrumpet | Date: 12/30/2009 | Rated: 0 (0) | Views: 37

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change R ... more>>

Tags: Fixed Income Clearing Corporation, Proposed Rule Change, Federal Register, Securities and Exchange Commission, the Exchange, NYSE Arca, Rule Filings, Agency Information Collection, FICC

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SEC Proposed Rule Change for Grail McDonnell Fixed Income ETFs

From: lmhstrumpet | Date: 12/30/2009 | Rated: 0 (0) | Views: 56

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SEC Proposed Rule Change for Grail McDonnell Fixed Income ETFs. NYSE more>>

Tags: Grail McDonnell Fixed Income ETFs, ETF, SEC, mortgage, loans, financeSecurities and Exchange Commissio..., Proposed Rule Change, money market funds, hedge fund, indexed annuity, final rule, NYSE

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US Securities and Exchange Commission Proposes Mandatory Credit Ratings Disclosure

From: lmhstrumpet | Date: 11/12/2009 | Rated: 0 (0) | Views: 135

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US Securities and Exchange Commission Proposes Mandatory Credit Ratings Disclosure. more>>

Tags: US Securities and Exchange Commission Pr..., SEC, Security and Exchange Commission, credit, credit ratings, credit card, debt, loan, mortgage, securities, bank, banking

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Exhibit 7 to the SEC Office of Investigations: Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme - Public Version - August 31, 2009, Report No. OIG-509

From: LeagleWire | Date: 10/31/2009 | Rated: 0 (0) | Views: 13

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SEC Deposition of JACQUELINE WOOD PERRELL; aka Jacqueline Wood, Jacqueline Murray Wood, Former OCIE Attorney Advisor, aka Witness Number 7, Witness 7, ... more>>

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Exhibit 6 to the SEC Office of Investigations: Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme - Public Version - August 31, 2009, Report No. OIG-509

From: LeagleWire | Date: 10/31/2009 | Rated: 0 (0) | Views: 21

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SEC Deposition of Jane Doe, Witness No. 6, Witness 6, Witness # 6 UNITED STATES SECURITIES ANU EXCHANGEC OMMISSION In the Matter of: File No. ... more>>

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Exhibit 5 to the SEC Office of Investigations: Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme - Public Version - August 31, 2009, Report No. OIG-509

From: LeagleWire | Date: 10/31/2009 | Rated: 0 (0) | Views: 7

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SEC Deposition of Witness 13 BEFORE THE SECURITIES AND EXCHANGE COMMISSION In the Matter of: GIG-509 GIG-502 OU -938 WITNESS: #13 PAGES: 1-133 PLACE: ... more>>

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Exhibit 4 to the SEC Office of Investigations: Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme - Public Version - August 31, 2009, Report No. OIG-509

From: LeagleWire | Date: 10/31/2009 | Rated: 0 (0) | Views: 7

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SEC Deposition of MAVIS KELLY UNITED STATES SECURITIES AND EXCHANGE COMMISSION In the Matter of: File No. GIG-509 GIG-509 f~ *c� WITNESS: Number ... more>>

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Exhibit 3 to the SEC Office of Investigations: Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme - Public Version - August 31, 2009, Report No. OIG-509

From: LeagleWire | Date: 10/31/2009 | Rated: 0 (0) | Views: 15

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SEC Deposition of OCIE Staff Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION In the Matter of: File No. GIG-509 GIG-509 WITNESS: Number ... more>>

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Exhibit 1 to the SEC Office of Investigations: Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme - Public Version - August 31, 2009, Report No. OIG-509

From: LeagleWire | Date: 10/31/2009 | Rated: 0 (0) | Views: 18

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UNITEDSTA'rE~S SECURITIES AND ... more>>

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U.S. Securities and Exchange Commission, Office of Investigations: Investigation of Failure of the SEC to Uncover Bernard Madoff’s Ponzi Scheme - Public Version - August 31, 2009, Report No. OIG-509

From: LeagleWire | Date: 10/31/2009 | Rated: 0 (0) | Views: 48

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[NOTE: If all 477 pages don't appear in your browser, refresh or download the document.] U.S. Securities and Exchange Commission (SEC) Office of ... more>>

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SUN LIFE ASSURANCE COMPANY OF CANADA SEC Filing

From: lmhstrumpet | Date: 10/15/2009 | Rated: 0 (0) | Views: 64

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ORDER PURSUANT TO SECTION 26(c) OF THE INVESTMENT COMPANY ACT OF 1940 GRANTING APPROVAL OF SUBSTITUTIONS AND PURSUANT TO SECTION 17(b) OF THE ACT GRAN ... more>>

Tags: SUN LIFE ASSURANCE COMPANY OF CANADA, life assurance quote, SECURITIES AND EXCHANGE COMMISSION, SEC

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