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     1  +2 2014 oct 12025 state streetanswer.fil025 B000001 13-3224016 025 C000001 D 025 D000001 20576 025 A000002 ... D 025 D000007 594 025 A000008 STATE STREET BANK & TRUST CO.
     1  ~ 2014 oct 12141 w jackson getcoComment Letter on File No. S7-10-10 - Securities and Exchange GETCO . 141 West Jackson Boulevard. Suite 210. Chicago IL 60604. + 13129312200 MAIN. +13129312210 FAX getcollc .com. June 28, 2010. Elizabeth Murphy.
     1  +3 2014 oct 05borders annual reportAnnual Report - Securities and Exchange Commission10-K 1 form10k.htm BORDERS GROUP, INC 10-K 1-29-2011 ... ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES. EXCHANGE ... ‎Business - ‎Risk Factors - ‎Unresolved Staff Comments - ‎Properties
     1  ~ 2014 oct 05high yield corporate bondWhat Are High - yield Corporate Bonds ? - Securities and Exchange While they generally offer a higher yield than investment-grade bonds, high-yield bonds also carry a higher risk of default. What is a high - yield corporate bond ?
     1  ~ 2014 oct 05regulation d offeringSEC.gov | Regulation D OfferingsUnder the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D (or Reg D) contains three ... ‎Rule 504 of Regulation D - ‎Rule 506 of Regulation D - ‎Rule 505 of Regulation D
     1  ~ 2014 oct 05reg d filingsRegulation D (or Reg D ) contains three rules providing exemptions from the ... the SEC adopted amendments to Form D, requiring that electronic filing of Form D ... ‎Rule 504 of Regulation D - ‎Rule 506 of Regulation D - ‎Rule 505 of Regulation D
     1  +1 2014 oct 04executive employment agreementExecutive Employment AgreementExhibit 10.01. EXECUTIVE EMPLOYMENT AGREEMENT . THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”), dated as of August 21, 2012, ( the ...
     1  ~ 2014 oct 04sec micro cap fraudSEC .gov | Microcap Stock: A Guide for InvestorsEven in the absence of fraud , microcap stocks historically have been more volatile and less liquid than the stock of larger companies. Before you consider ...
     1  ~ 2014 oct 03reg d filing formForm D - Securities and Exchange CommissionCertifying that, if the issuer is claiming a Regulation D exemption for the .... of securities or the date upon which the Form D filing was required to be made.
     1  ~ 2014 oct 03rex venture group llcRex Venture Group LLC et al. - Securities and Exchange CommissionSecurities and Exchange Commission v. Rex Venture Group LLC et al., U.S. District Court for Western District of North Carolina (Civil Action No.
     1  ~ 2014 oct 01company check usaSEC.gov | Company Search PageU.S. Securities and Exchange Commission. Search SEC Documents ... Search for the company's official name rather than its common name. Company Name. ‎Company Search - ‎Search for Current Events - ‎EDGAR: A Guide for Investors
     1  ~ 2014 oct 01paradigm tactical products investigationDaniel O'Riordan - Securities and Exchange CommissionSEC Files Securities Fraud and Registration Charges Against Former President of Paradigm Tactical Products , Inc. The Securities and ...
     1  ~ 2014 oct 01sec reg d filingSEC .gov | Regulation D Offeringsexemption do not have to register their securities and usually do not have to file reports with the SEC , they must file what's known as a " Form D " after they first ... ‎Rule 504 - ‎Rule 506 of Regulation D - ‎Rule 505
     1  ~ 2014 oct 01regulation d private placementRegulation D (or Reg D) contains three rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities ... ‎Rule 504 - ‎Rule 506 of Regulation D - ‎Rule 505
     1  ~ 2014 sep 29best investment advice gov edu pdfSEC Staff Study on Investment Advisers and Broker-Dealersexpect that advice to be given in the investors ' best interest. ...... available at
     1  ~ 2014 sep 29sunshine private equity fundSEC.gov | Spreading Sunshine in Private EquityPRIVATE EQUITY INTERNATIONAL (PEI) Private Fund Compliance Forum 2014 KEYNOTE – DREW BOWDEN Date/Time: May 6, 2014, ...
     1  ~ 2014 sep 29reverse merger reportInvestor Bulletin: 1 - Securities and Exchange Commissionreferred to as “ reverse mergers ” or “reverse takeovers. (RTOs).” What is a Reverse Merger ... “shell company,” which is a public reporting company with few or no ...
     1  ~ 2014 sep 28securities and exchange commissionU.S. Securities and Exchange Commission | HomepageU.S. Securities and Exchange Commission : official Federal Agency website, including news, legal and other releases and reports, investor education material , ... ‎Edgar - ‎Search - ‎Information for EDGAR Filers - ‎Check Out Brokers
     1  +2 2014 sep 28suhel kanuga mill india acquisitionMILLENNIUM INDIA ACQUISITION COMPANY, INCDEF 14A 1 final2011proxymiacv4.htm MILLENNIUM INDIA ACQUISITION COMPANY, INC. ..... The Company is led by F. Jacob Cherian and Suhel Kanuga .
     1  ~ 2014 sep 27michael kors licensing dealsLicensing Agreement - Michael Kors (HK) LimitedLICENSE AND DISTRIBUTION AGREEMENT made as of this 1st day of April 2011, by and between MICHAEL KORS , L.L.C., a limited liability company existing ...
     1  +1 2014 sep 27investment companySEC.gov | Investment CompaniesGenerally, an " investment company " is a company (corporation, business trust, partnership, or limited liability company) that issues securities and is primarily ...
     1  ~ 2014 sep 27subsidiary open joint stock company sojscj1256_ex21d1.htmList of Subsidiaries . December 31 ... Notes: 1) All subsidiaries are 100% owned, directly or indirectly. 2) “ SOJSC ” stands for Subsidiary Open Joint Stock Company .
     1  ~ 2014 sep 27when to invest gov edu pdfSaving and Investing - Securities and Exchange Commissionthis brochure, we'll cover the basics on saving and investing . At the SEC, we enforce ... links to non-commercial resources at www.investor. gov . KNOW YOUR  ...
     1  +1 2014 sep 26k's reportSEC.gov | Form 10- KFor example, domestic issuers (other than small business issuers) must submit annual reports on Form 10- K , quarterly reports on Form 10-Q, and current reports  ...
     1  ~ 2014 sep 26what new websiteWhat's New on the SEC Website , September 25, 2014Index of What's New Archive, which provides daily information on recent ... This page provides a daily list of the most recent materials posted to the SEC website .
     1  ~ 2014 sep 25form dFORM D . Notice of Exempt. Offering of Securities. U.S. Securities and Exchange Commission. Washington, DC 20549. (See instructions beginning on page 5).
     1  ~ 2014 sep 25sec regulation dUnder the Securities Act of 1933, any offer to sell securities must either be registered with the SEC or meet an exemption. Regulation D (or Reg D) contains three ... ‎Rule 504 of Regulation D - ‎Rule 506 of Regulation D - ‎Rule 505
     1  ~ 2014 sep 23investment clubsSEC.gov | Investment Clubs and the SECInvestment clubs and questions about them have grown tremendously. This document answers some of the most common questions and directs you to ...
     1  +1 2014 sep 23amendment report to extraordinary reportAmendment Report for Extraordinary Report filed by Hitachi Medical Exhibit II-4. Amendment Report for Extraordinary Report . pursuant to Article 24- 5.5 of. the Financial Instruments and Exchange Act of Japan. February 6, 2014.
     1  ~ 2014 sep 23systemax prospectussystemax -s8_122203.htm - Securities and Exchange CommissionSystemax Inc. 1999 Long-Term Stock Incentive Plan (Full Title of the ... INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS . This Registration ...
     1  ~ 2014 sep 22the investors registryThe Investors Registry , LLC, and Michael J. SouthworthThe Investors Registry , LLC, and Michael J. Southworth, Civil Action No. [2:12-cv- 02214-MEA] (D. Ariz., filed October 16, 2012). SEC Charges ...
     1  ~ 2014 sep 21revocation of registered securitiesDefunct Company, Stock Continues to Trade - Securities and The SEC may revoke the registration of stocks . In some circumstances, the SEC may revoke the registration of a defunct company's stock. Section 12(j) of the ...
     1  ~ 2014 sep 21reg dRegulation D (or Reg D ) contains three rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities ... ‎Rule 504 of Regulation D - ‎Rule 506 of Regulation D - ‎Rule 505
     1  ~ 2014 sep 21regulation dRegulation D (or Reg D) contains three rules providing exemptions from the registration requirements, allowing some companies to offer and sell their securities ... ‎Rule 504 of Regulation D - ‎Rule 506 of Regulation D - ‎Rule 505
     1  ~ 2014 sep 20share regulation dRegulation D (or Reg D) contains three rules providing exemptions from the ... and stock promoters, but contains little other information about the company. ‎Rule 504 of Regulation D - ‎Rule 506 of Regulation D - ‎Rule 505
     1  +100 2014 sep 20access short transactionsShort Sale Position and Transaction Reporting (pdf) - Securities and market participants can get either free or paid access to short interest ... short sale transactions , and some securities lending data.4 In addition, ...
     1  +7 2014 sep 18kevin mcknightKevin McKnight and Stephen C. Bauer (Release No. LR-23000; May Litigation Release No. 23000 / May 22, 2014. Securities and Exchange Commission v. Kevin McKnight and Stephen C. Bauer, Civil Action No. 9:14-cv- 80677 ...
     1  +1 2014 sep 18edgarsEdgar - Securities and Exchange CommissionCopies of forms 10-K and other filings with the U.S. Securities and Exchange Commission. Forms are posted to the site 24 hours after the filing ... ‎Company Search - ‎EDGAR | Search Tools - ‎How Do I Use EDGAR? - ‎About EDGAR
     1  ~ 2014 sep 17accredited investorSEC.gov | Accredited InvestorsFor some of the exemptions, such as rules 505 and 506 of Regulation D, a company may sell its securities to what are known as " accredited investors .".
     1  ~ 2014 sep 17egc copanyFrequently Asked Questions - Securities and Exchange CommissionAn “ emerging growth company ” is defined in the Securities Act and the Exchange Act as an issuer with “total annual gross revenues” of less than $1 billion ...
     1  ~ 2014 sep 15edgarAll companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through EDGAR . Anyone can ... Company SearchCompany Search - Search for Current Events - Mutual FundsEDGAR | Search ToolsFree access to more than 20 million filings. Since 1934, the ...More results from sec.gov »
     1  ~ 2014 sep 14sec edgarSEC .gov | Filings & Forms - Securities and Exchange CommissionAll companies, foreign and domestic, are required to file registration statements, periodic reports, and other forms electronically through EDGAR . Anyone can 
     1  +1 2014 sep 13trade terms usually includeSEC.gov | Insider Trading"Insider trading " is a term that most investors have heard and usually associate with illegal conduct. But the term actually includes both legal and illegal conduct.
     1  +1 2014 sep 13avex prospectusBEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC The date of this prospectus is April 10, 2000 <PAGE> YOU SHOULD RELY ON .... prospectus include, without limitation: o integration of the operations of AVEX  ...
     1  ~ 2014 sep 13whaty new websiteWhat's New on the SEC Website
     1  ~ 2014 sep 12quepasa board of directors secLionel Sosa Joins Board of Directors of Quepasa CorporationLionel Sosa Joins Board of Directors of Quepasa Corporation. SCOTTSDALE, AZ , August 8 -- Quepasa Corporation (OTC Bulletin Board: QPSA - News) ...
     1  +6 2014 sep 12brian sinderson ener1v228901_ex99-1.htmBrian Sinderson. 212-920-3500 X117. brian . sinderson @ ener1 .com. Wanxiang and Ener1 Receive Chinese Government Approval for Joint ...
     1  +3 2014 sep 122 cvbn bn0<SEC-DOCUMENT>0000000000-12-036319.txt : 20120801 <SEC CITY: TORONTO STATE: A6 ZIP: M5H 1H1 BUSINESS PHONE: (416)866-7555 MAIL ADDRESS: STREET 1: 44 KING STREET WEST STREET 2 : SCOTIA ...
     1  +6 2014 sep 12best xml feedsconduct searchInteractive Data Filings and RSS FeedsInteractive Data Filings and RSS Feeds ... SEC's Rendering Engine, a user can conduct a search for a company by clicking on the following link ...
     1  +6 2014 sep 11primedex health systems colorado<DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>3 <FILENAME Primedex Health Systems , Inc. (OTCBB: PMDX. ... New York and 8 centers in other states, including Florida, Kansas, Colorado and Minnesota.
     1  +2 2014 sep 10ny pokpu<SEC-DOCUMENT>0001144204-12-049194.txt : 20120831 <SEC All 2,000 stocks are traded on the New York Stock Exchange or NASDAQ, and the RTY consists of the smallest 2,000 companies included in the Russell ...
     1  ~ 2014 sep 10us company name searchU.S. Securities and Exchange Commission. Search SEC Documents ... Search for the company's official name rather than its common name . Company Name . ‎Company Search - ‎Search for Current Events - ‎A Guide for Investors - ‎Mutual Funds
     1  ~ 2014 sep 10sec filingsCollection of submitted forms and reports from every domestic public company to the U.S. Securities and Exchange Commission ( SEC ). Company SearchCompany Search - Search for Current Events - Mutual FundsEDGAR | Search ToolsIn 1984, EDGAR began collecting electronic documents to help ...More results from sec.gov »
     1  +1 2014 sep 08investment advisors contact listSEC.gov | Protect Your Money: Check Out Brokers and Investment Before you invest, make sure your brokers, investment advisers , and ... The good news is that this information is easy to get, and one phone call or web search ...
     1  +63 2014 sep 08investigate roi onReport of Investigation Pursuant to Section 21(a) - Securities and Release No. 71390 / January 24, 2014. Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: KPMG, LLP. I. Introduction.
     1  +29 2014 sep 08medicis financial resultzAnnual Report on Form 10-K - Securities and Exchange CommissionManagement's Discussion and Analysis of Financial Condition and Results of ... Medicis Pharmaceutical Corporation (“ Medicis ,” the “Company,” or as used in ... ‎Business - ‎Risk Factors - ‎Unresolved Staff Comments - ‎Properties
     1  ~ 2014 sep 08stock transfer agentsSEC.gov | Transfer AgentsCompanies that have publicly traded securities typically use transfer agents to keep track of the individuals and entities that own their stocks and bonds.
     1  +9 2014 sep 08loan guarantee agreementLoan and Guaranty AgreementLOAN AND GUARANTY AGREEMENT . THIS LOAN AND GUARANTY AGREEMENT is made and dated as of December 28, 2010 and is entered into by and ...
     1  +1 2014 sep 07buy borrower informationSEC.gov | Margin: Borrowing Money to Pay for Stocks"Margin" is borrowing money from you broker to buy a stock and using your investment ... For more information , visit the website of FINRA and read Investing with ...
     1  ~ 2014 sep 06investment advisor registrationFederal or state securities laws require brokers, investment advisers , and their firms to be licensed or registered , and to make important information public.
     1  +1 2014 sep 06sec filing epicdirect networkForm 10-K - Securities and Exchange CommissionIndicate by check mark if the registrant is not required to file reports pursuant to
     1  ~ 2014 sep 05peter stanley sec fraudLR-15318 - Securities and Exchange Commissiona Final Judgment of Permanent Injunction as to Peter M. Stanley which permanently ... Peter M. Stanley , and Andrew S. Fink alleging violations of the antifraud  ...
     1  ~ 2014 sep 05sce trade haltedSEC .gov | Trading Halts and DelaysA trading halt —which typically lasts less than an hour but can be longer—is called during the trading day to allow a company to announce important news or  ...
     1  +1 2014 sep 05mf worldwide finiancial reportingReport on Form 10-K - Securities and Exchange CommissionPortions of MF Global Holdings Ltd.'s Proxy Statement for its 2011 Annual ... Management's Discussion and Analysis of Financial Condition and Results of ...
     1  ~ 2014 sep 05stock limit orderSEC.gov | Limit OrdersLimit Orders . A limit order is an order to buy or sell a stock at a specific price or better. A buy limit order can only be executed at the limit price or lower, and a sell  ...
     1  +1 2014 sep 03free exchange link htmFree access to more than 20 million filings. Since 1934, the SEC has ... They contain links to and metadata for EDGAR XBRL documents. Site Map|; Accessibility ...
     1  +2 2014 sep 03sale of llc formSale of LLC Interest AgreementTHIS SALE OF LLC INTEREST AGREEMENT (this “Agreement”) is dated as of ... Promissory Note in the form of that attached hereto as Exhibit “A” (the “Equity ...
     1  ~ 2014 sep 02investment company actInvestment Company Act of 1940 - Securities and Exchange to section 30 of the Public Utility Holding Company Act of 1935, and facts ... that investment companies are affected with a national public in terest in that, among  ...
     1  ~ 2014 sep 02ask investment questionsAsk Questions - Securities and Exchange CommissionQuestions you should ask about investment products and the people who sell those products with tips on how to monitor your investments .
     1  +1 2014 sep 01amendment extraordinary report
     1  +1 2014 aug 31stock sell stopSEC.gov | Stop OrderStop Order. A stop order, also referred to as a stop -loss order, is an order to buy or sell a stock once the price of the stock reaches a specified price, known as the  ...
     1  ~ 2014 aug 29an investment adviserInvestment Advisers : What You Need to Know Before Choosing OneThe SEC receives many questions about investment advisers —who they are and how to go about choosing one. This document answers some of the typical ...
     1  ~ 2014 aug 29confidentiality private labelPrivate Label Supply AgreementEX-10.20 2 dex1020.htm PRIVATE LABEL SUPPLY AGREEMENT ... CONFIDENTIAL TREATMENT REQUESTED. PRIVATE LABEL SUPPLY AGREEMENT.
     1  ~ 2014 aug 28ex-dividend date example stockSEC.gov | Ex - Dividend Dates : When Are You Entitled to Stock and The ex - dividend date is normally set for stocks two business days before the record date . If you purchase a ... In this example , the record date falls on a Tuesday.
     1  +5 2014 aug 28website broker agreementEX-99.1 - Securities and Exchange CommissionTHIS WEB - BROKER AGREEMENT (“Agreement”) is entered into by and between THE CENTERS FOR MEDICARE & MEDICAID SERVICES (“CMS”), as the ...
     1  +2 2014 aug 28guide to investSEC.gov | Beginners' Guide to InvestingThis brochure provides a handy guide to the SEC's materials available for those just beginning their journey into investing .
     1  +2 2014 aug 28financial statements offerDivision of Corporation Finance Financial Reporting Manual1100 Financial Statements and Schedules in Registration and Proxy Statements ..... 14300 Cash Offer Financial Statement Requirements.
     1  +100 2014 aug 27couch oil and gasCouch Oil & Gas Inc - Securities and Exchange CommissionSecurities and Exchange Commission v. Charles Couch and Couch Oil & Gas , Inc., Civil Action No. 3:14-cv-01747-D (NDTX) (May 12, 2014).
     1  ~ 2014 aug 27usa company search
     1  ~ 2014 aug 27investment advisor searchBefore you invest, make sure your brokers, investment advisers , and ... and one phone call or web search may save you from sending your money to a con artist,  ...
     1  +2 2014 aug 26united investment trustSEC.gov | Unit Investment Trusts (UITS)Unit Investment Trusts (UITs). A" unit investment trust ," commonly referred to as a " UIT," is one of three basic types of investment company. The other two types ...
     1  ~ 2014 aug 26updates about press releaseSEC.gov | Press ReleasesTo view Press Releases prior to 2012, click View Archive.
     1  ~ 2014 aug 25enron sec filingsSpotlight on: Enron - Securities and Exchange CommissionProvides links to SEC and court documents regarding the Enron case. ... by Enforcement Director Stephen M. Cutler, Remarks to Announce the Filing of SEC v.
     1  ~ 2014 aug 25how to form idSEC Form ID - Securities and Exchange CommissionU.S. Securities and Exchange Commission. Washington, DC 20549. Form ID . UNIForm APPLICATIoN For ACCESS CoDES To FILE oN EDGAr.
     1  +1 2014 aug 25usa company register
     1  ~ 2014 aug 25us company search
     1  +4 2014 aug 24directors service agreementBoard of Directors Services AgreementThis Board of Directors Services Agreement (the “Agreement”), dated March 21, 2011, is entered into between Skullcandy, Inc., a Delaware corporation (“the ...
     1  +1 2014 aug 23list of shareholdersSEC.gov | Shareholder's Lists , When You Can Get ThemAlthough investors sometimes ask the SEC for a list of a company's shareholders , the SEC does not maintain shareholder lists . Only the company itself has ...
     1  ~ 2014 aug 23us capital fundingRobert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited, Civil Action No. 1:13-cv-1656 (N.D. ...
     1  ~ 2014 aug 23corporate finacial disclosuresDivision of Corporation Finance: Disclosure GuidanceDivision of Corporation Finance . Disclosure Guidance. Information About Filing Reviews. Filing Review Process · Filing Review ...
     1  ~ 2014 aug 23reseller bonus adwordsGoogle AdWords Reseller Agreement, dated May 9, 2011This Google AdWords Reseller Agreement, including its exhibits ... to Reseller without a performance bonus under the AdWords Ts and Cs.
     1  +2 2014 aug 23myex stock exchangeEx-Dividend Dates - Securities and Exchange CommissionHave you ever bought a stock only to find out later that you were not entitled to ... Once the company sets the record date, the stock exchanges or the National ...
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