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Sec Rule 10b-5
SEC Rule 10b-5
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United States Securities and Exchange Commission
(17)
Exchange Act
Regulation FD
Regulation NMS
Rule 10b5-1
Rule 144A
Rule 144A
S.E.C.
The Securities Act of 1933
EDGAR
Fair Fund
Registry department
Regulation AB
Regulation D
Rule 13D
SEC Filings
Securities and Exchange Commission appointees
United States Securities and Exchange Commission personnel
Wells notice
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United States securities law
(32)
INVESTMENT COMPANY ACT
NASAA
NASD
PSLRA
Registered representative
Registered representative
SLUSA
Big Boy Letter
Blue sky law
Commodity Exchange Act
Exchange Act
General Securities Principal Exam
General Securities Representative Exam
Investment Banking Exam
Investment Company Products/Variable Life Contracts Representative Exam
List of securities examinations
Public Utility Holding Company Act of 1935
Rule 10b5-1
Rule 144A
Sarbanes–Oxley Act
Scienter
Securities regulation in the United States
Strike suit
Taylor v. Standard Gas Co.
The Securities Act of 1933
Trust Indenture Act of 1939
Uniform Combined State Law Exam
Uniform Gifts to Minors Act
Uniform Investment Adviser Law Exam
Uniform Securities Act
Uniform Securities Agent State Law Exam
United States federal securities legislation
United States securities case law
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United States federal securities legislation
(10)
Investment Advisers Act of 1940
Exchange Act
Foreign Corrupt Practices Act
INVESTMENT COMPANY ACT
Johnson Act
Johnson Act
Public Utility Holding Company Act of 1935
Sarbanes–Oxley Act
Securities Investor Protection Act
The Securities Act of 1933
Trust Indenture Act of 1939
more...
United States federal financial legislation
(26)
Anti-Gold Futures Act of 1864
Bankruptcy Abuse Prevention and Consumer Protection Act
Bankruptcy Act of 1898
Bankruptcy Reform Act of 1978
Commodity Exchange Act
Commodity Exchange Act
Commodity Futures Modernization Act of 2000
Economic Growth and Regulatory Paperwork Reduction Act
Exchange Act
Foreign Investment and National Security Act of 2007
Fraud Enforcement and Recovery Act of 2009
Future Trading Act
Grain Futures Act
Gramm–Leach–Bliley Act
INVESTMENT COMPANY ACT
Investment Advisers Act of 1940
Net capital rule
PSLRA
Public Law 110-343
Rule 144A
SLUSA
Sarbanes–Oxley Act
The Securities Act of 1933
Trust Indenture Act of 1939
United States federal banking legislation
United States federal commodity and futures legislation
United States federal securities legislation
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Financial regulation in the United States
(51)
MSRB
Bank Secrecy Act
Bank holding company
Bank regulation in the United States
Central liquidity facility
Central liquidity facility
Committee on Capital Markets Regulation
Commodity Futures Trading Commission
Corporate Fraud Task Force
Covered security
Electronic Municipal Market Access
Employee Retirement Income Security Act
Federal Deposit Insurance Corporation
Federal Financial Institutions Examination Council
Federal Savings and Loan Insurance Corporation
FinReg21
Financial Crimes Enforcement Network
Form 144
Government Auditing Standards (Yellow Book)
Gramm–Leach–Bliley Act
INVESTMENT COMPANY ACT
Know your customer
List of United States Supreme Court cases on commodity and futures regulation
Mark C. Brickell
NASD
NCUA Corporate Stabilization Program
National Credit Union Administration
National Credit Union Share Insurance Fund
National Futures Association
Nationally Recognized Statistical Rating Organization
Net capital rule
Office of Thrift Supervision
PSLRA
Pension law (US)
Prudent man rule
Resolution Trust Corporation
Rule 144A
Securities Investor Protection Corporation
Securities regulation in the United States
Security and Freedom Through Encryption Act
Supervisory Capital Assessment Program
The Securities Act of 1933
Thrift Financial Report
Trust Indenture Act of 1939
Uniform Prudent Investor Act
United States Securities and Exchange Commission
United States commodity and futures case law
United States federal banking legislation
United States federal financial legislation
United States securities law
Uptick rule
Williams Act
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Financial markets
Securities law
Securities
Market manipulation
Broker-dealer
Market makers
Issuer
Short position
United States district courts
S.D.N.Y.
N.D. Cal.
C.D. Cal.
N.D. Ill.
United States District Judge
Legal terms
(9)
Enjoining
Alleges
Cease and desist
Administrative proceeding
Materiality (law)
Materiality (law)
Defendants
Complaint
Docket (court)
Issuer
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Financial regulation
Naked short selling
Selective disclosure
International Organization of Securities Commissions
Best Execution
Self Regulatory Organization
Short position
NASAA
United States securities case law
(12)
Basic Inc. v. Levinson
Blue Chip Stamps v. Manor Drug Stores
Stoneridge
Central Bank of Denver v. First Interstate Bank of Denver
Credit Suisse v. Billing
Credit Suisse v. Billing
Hall v. Geiger-Jones Co.
Merrill Lynch, Pierce, Fenner & Smith, Inc. v. Dabit
Securities and Exchange Commission v. Ralston Purina Co.
Securities and Exchange Commission v. W. J. Howey Co.
Silver v. New York Stock Exchange
TSC Industries, Inc. v. Northway, Inc.
Tellabs, Inc. v. Makor Issues & Rights, Ltd.
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Short selling
Easy to borrow
Locate (finance)
Naked short selling
Short interest ratio
Short position
Short squeeze
Finance
ACCEL/Exchange
Options backdating
Securities offering
Registered representative
Market manipulation
Short position
See also
(20)
Disgorgement
Mazda Wankel engine
2d Cir.
Self Regulatory Organization
15 U.S.C.
15 U.S.C.
Civil action
Final judgment
15C3
Securities fraud
F. Supp.
Jackie Chan Adventures
Investment adviser
European Commission
Penny stock
F.2d
F.3d
Government agencies
Organizations
Civil penalty
Short swing
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