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SEC Amends Mutual Fund Advertising Rules, Proposes New Rules
SEC Amends Mutual Fund Advertising Rules, Proposes New Rules
From: kennedyandstahl | Date: 7/24/2009 | Rated: 0 (0) | Views: 25
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SEC Amends Mutual Fund Advertising Rules, Proposes New Rules and Amendments for Fund of Funds... Page 1 of 3 Home | Previous Page SEC Amends ...  more>>

Categories: Education >
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Language: English
Key SEC Financial Responsibility Rules
Key SEC Financial Responsibility Rules
From: goodbaby | Date: 11/3/2009 | Rated: 0 (0) | Views: 3
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Appendix 11 Key. SEC Financial Responsibility Rules The Securities and Exchange Commission's (SEC) 1 uniform net capital rule (15c3-1) and ...  more>>

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Language: English
SEC v John W Lawton Paramount Partners SEC Complaint
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Language: English
CFTC and SEC Joint Proposed Rules
CFTC and SEC Joint Proposed Rules
From: CFTC | Date: 6/30/2008 | Rated: 0 (0) | Views: 66
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COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 41 RIN 3038 AB86 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34RIN 3235-AJ54 ...  more>>

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Language: Unknown
Changes to SEC Rules Regarding Shell Companies and the
Changes to SEC Rules Regarding Shell Companies and the
From: NeilYounger | Date: 8/13/2009 | Rated: 0 (0) | Views: 0
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Changes to SEC Rules Regarding Shell Companies and the Use of Form S-8 Registration Statements New SEC policies are intended to combat the misuse of  ...  more>>

Categories: Business >
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Language: English
SEC 00140-02
SEC 00140-02
From: chrstphr | Date: 12/1/2009 | Rated: 0 (0) | Views: 0
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STATE OF CONNECTICUT AUDITORS' REPORT STATE EMPLOYEE CAMPAIGNS FOR THE 2001 AND 2002 CAMPAIGNS AUDITORS OF PUBLIC ACCOUNTS KEVIN P. JOHNSTON ♦ ...  more>>

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Language: English
SEC Performance Budget for
SEC Performance Budget for
From: SECDocs | Date: 5/30/2008 | Rated: 0 (0) | Views: 161
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SEC Performance Budget for 2007 In accordance with Section 220 of Office of Management and Budget Circular A11, the SEC has crafted the following Perf ...  more>>

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Language: English
SEC 81506
SEC 81506
From: keara | Date: 11/8/2009 | Rated: 0 (0) | Views: 2
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STAFF EMPLOYEES’ COUNCIL September 19, 2006 JOURNALISM BLDG., ROOM 304 2:00-4:00 PM Executive officers present: Bill Oberding (Chair), Melanie ...  more>>

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Language: ENGLISH
Complaint Forwarded to the SEC
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Language: English
Sec Rule 10B
Sec Rule 10B
From: gailfan9112 | Date: 7/24/2009 | Rated: 0 (0) | Views: 2
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THE JURISPRUDENCE OF SEC RULE 10b-5 Securities Law for Nonsecurities Lawyers San Diego, CA July 28-29, 2005 Thomas Lee Hazen Cary C. Boshamer ...  more>>

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Language: English
SEC Issues Final Rules of Amendments to Compensation and Governance Disclosures, Form 8-K
SEC Issues Final Rules of Amendments to Compensation and Governance Disclosures, Form 8-K
From: DLAPiper | Date: 12/18/2009 | Rated: 0 (0) | Views: 2
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DLA Piper | Publications | SEC issues final rules on amendments to compensation and governanc... Page 1 of 5 News & Insights > ...  more>>

Categories: Legal >
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Language: English
Sec Forms 10
Sec Forms 10
From: gailfan9112 | Date: 7/24/2009 | Rated: 0 (0) | Views: 0
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q GENERAL INSTRUCTIONS A. Rule as to Use of Form 1O-Q. 1. OMB ...  more>>

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