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Topic: U.S. Securities and Exchange Commission

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Australian Securities & Investments Commission: HomePage Enforcing and regulating company and financial services laws ASIC accepts enforceable undertaking over unsolicited offers to purchase securities Father and son to be extradited to NSW to face charges www.asic.gov.au

Securities and Exchange Commission --  Encyclopædia Britannica Major database of publicly available filings submitted to the U.S. Securities and Exchange Commission. Provides complete filings and summary reports of documents of public companies and includes, mutual fund prospectuses, insider trading tracker, stock quotes and IPO market details of new companies. Focuses on regulation of the securities market and the corporate world. www.britannica.com /eb/article?eu=68251&tocid=0

Plaut v. Spendthrift Farm, Inc., 514 U.S. 211 (1995). The complaint alleged that in 1983 and 1984 respondents had committed fraud and deceit in the sale of stock in violation of §10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 of the Securities and Exchange Commission. The concurrence is willing to acknowledge only that " sometimes Congress lacks the power under Article I to reopen an otherwise closed court judgment," post, at 1. The dissent's perception that retroactive reopening provisions are to be found all about us is perhaps attributable to its inversion of the statutory presumption regarding retroactivity. supct.law.cornell.edu /supct/html/93-1121.ZO.html

RR Donnelley's RealCorporateLawyer.com Summary of Securities Offering Reform Proposal from Kirkland Ellis LLP. SEC Final Rule: Issuer Restrictions Or Prohibitions On Ownership By Securities Intermediaries (Nov. 30, 2004). SEC Proposes Securities Act Reform from Nixon Peabody LLP. www.realcorporatelawyer.com

Welcome to SEC Biotechnologies Looking for the U.S. Securities and Exchange Commission? www.penn.net

LSU Libraries--Business Resources Access closing market quotes for exchanges in Asia Pacific& Australia, Europe, Mid-East & Africa, and the Americas. This easy-to-use interface to the SEC filings allows the user to search for summary financial reports, navigate the SEC filings, and review in-depth financial analysis. Under "Market Information," access company information listed by industrs.stanford.edu"> Securities Class Action Clearinghouse www.lib.lsu.edu /bus/finance.html

Securities Law -Rules Regulations Arbitration Litigation NASD NYSE SEC stock offerings which are not made to the general public are called private placements, and are exempt from registration with the securities regulators. RS Investment Management to Pay $25 Million and Undertake Compliance Reforms to Settle SEC Market Timing Charges View the active topic list, or go directly to the forums. www.seclaw.com /centers/lawcent.shtml

Trading Secrets Revealed This will change the way you make money in the stock market for the rest of your life. Or if you prefer to order securely online, you can do so here... tradingsecret.info

Nigeria's Securities and Exchange Commission (SEC) The IOSCO provides a forum for the discussion of securities market related issues, improving cross border trading in securities and finding solutions to problems of mutual interest. The commission ensures that it balances regulation with development and progressive ideas. Developing the Securities Market: the role of financial intermediaries, the government and Nigerian Enterprises – 1982. www.nigeriabusinessinfo.com /sec.htm

8K_112502.html (l) The statements set forth in the Prospectus under the caption "Description of the Notes", insofar as they purport to constitute a summary of the terms of the Securities and under the caption "Underwriting", insofar as they purport to describe the provisions of the laws and documents referred to therein, are accurate, complete and fair; (n) The Company is not and, after giving effect to the offering and sale of the Securities, will not be an "investment company" or an entity "controlled" by an "investment company", as such terms are defined in the Investment Company Act of 1940, as amended (the "Investment Company Act"); (p) PricewaterhouseCoopers LLP, who have certified certain financial statements of the Company and its subsidiaries, are independent public accountants as required by the Act and the rules and regulations of the Commission thereunder. www.fsa.com /financial/8K_112502.html

US CODE: Title 15,CHAPTER 2B–1—SECURITIES INVESTOR PROTECTION National system for clearance and settlement of securities transactions National market system for securities; securities information processors Trading by members of exchanges, brokers, and dealers www4.law.cornell.edu /uscode/15/ch2B.html

SEARCH-SEC.COM - Providing retrospective searching of S.E.C. Filings SEARCH-SEC.COM is a fast, free, no nonsense web site for researching companies and people that file with the U.S. Securities and Exchange Commission. Filings may be searched for by Central Index Key, form and date, or by stock symbol. SEARCH-SEC.COM - Providing retrospective searching of S.E.C. Filings www.search-sec.com

LII: Law about...Securities Only dealers and brokers who are registered with the SEC may engage in securities business both on stock exchanges and over-the-couner market. Trading transactions are the purchasing and selling of outstanding securities among investors. There are two principle settings for buying and selling securities: issuer transactions and trading transactions. www.law.cornell.edu /topics/securities.html

Securities and Exchange Commission Historical Society Home Page Securities and Exchange Commission Historical Society Home Page The Securities and Exchange Commission Historical Society preserves and shares the history of the U.S. Securities and Exchange Commission and the securities industry through a virtual museum of papers, photos, oral histories and online programs. Online Programs in 2005 will include the following: www.sechistorical.org

SECsports.com Auburn RB Carnell Williams and Texas LB Derrick Johnson headline the AFCA Coaches' All-America Team announced today by the American Football Coaches Association. • The SEC - Football Success Continues in 2004 • SEC Women's Tourney Tickets On Sale Friday secsports.com

Table of Contents Section 18 -- Exemption from State Regulation of Securities Offerings Section 25 -- Jurisdiction of Other Government Agencies over Securities Section 3 -- Classes of Securities under this Title www.law.uc.edu /CCL/33Act/index.html

Securities and Exchange Commission (washingtonpost.com) President Bush nominated William H. Donaldson, co-founder of a successful investment banking firm, former chairman of the New York Stock Exchange and former dean of Yale's School of Management, to be chairman of the Securities and Exchange Commission. The SEC pursues 400-500 civil enforcement actions a year for violations of securities law, such as insider trading, accounting fraud and giving false or misleading information about companies or their securities. Arthur Levitt was seen as an activist chairman, passing two rules near the end of his term that were opposed by accounting firms and Wall Street. www.washingtonpost.com /wp-srv/business/includes/sec_primer.htm

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Securities and Exchange Commission Definition The securities and Exchange Commission enforces, among other acts, the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940 and the Investment Advisers Act. The securities and Exchange Commission is an independent, quasi-judiciary agency. And the Division of Enforcement enforces the securities legislation and investigates possible violations. www.investorwords.com /4439/SEC.html

SEC Rules & Regulations Downloadable PDFs - Bowne Publishing The Securities Act Handbook and Rules and Regulations of the Securities and Exchange Commission (Red Box), are now part of Aspen Publishers’ securities law library. You can access the SEC Rules and Regulations on Aspen's website. What is XBRL and how does it work? www.bowne.com /resources/secrules.asp

Texas State Agency - State Securities Board, Texas The Texas State Securities Board and the Texas Investor How to Check Out Your Securities Dealer, Agent, or Brokerage Firm Before You Buy a Callable CD, Take Notes! www.ssb.state.tx.us

SECURITIES AND EXCHANGE COMMISSION PRESS RELEASE of the Forty Second Meeting of the Macedonian Securities and Exchange Commission.... PRESS RELEASE Of the Twenty Fourth Meeting of the Macedonian Securities and Exchange Commission.... PRESS RELEASE of the Forty Eighth Meeting of the Macedonian Securities and Exchange Commission.... www.sec.gov.mk /e/activities.asp?topic=sednica

www.secp.gov.pk It has been over a year since I took over as Chairman of the Securities and Exchange Commission of Pakistan (the Commission). Over the course of the past year, the Commission made sustained efforts to implement the reform measures identified at the outset of the year. www.secp.gov.pk

What Is IARD? The Oklahoma Securities Act was repealed and the Oklahoma Uniform Securities Act of 2004, Okla. Stat. Fund Your Account Prior to Submitting Your Annual Updating Amendment: An SEC registrant is assessed an IARD Annual Fee (system processing fee) at the time its Annual Updating Amendment is filed. Reminder: An Investment Adviser that is registered with the SEC must submit its Annual Updating Amendment within 90 days of the firm’s fiscal year-end. www.iard.com

Securities Fraud and Investor Protection Resource Center F ollowing are further resources that may assist you in finding pertinent rules and regulations governing securities trading practices and help you learn more about securities fraud and your rights as an investor. Finally, this site should help you understand the securities arbitration process and which claims may be appropriate or eligible for arbitration. The National Association of Securities Dealers Dispute Resolution, Inc. (NASDADR) www.securitieslaw.com

museum.media.org: EDGAR In that meeting with the SEC and the Chairman's staff, my favorite moment was when we got to the question of why in the world people would want to see EDGAR data. Well, the SEC had cut a contract with a data wholesaler who would add value. The wholesaler, in turn, would sell to information retailers who would add even more value. museum.media.org /edgar

EDGAR Online, Inc. EDGAR® is a federally registered trademark of the U.S. Securities and Exchange Commission (SEC). Subscribe to EDGAR Online Pro today and get convenient downloadable versions of the documents you need, plus other subscriber-only access to business and company information in SEC filings. To get started immediately, simply enter your email in the form below. www.edgar-online.com

CataLaw : Finance and Securities Law U.S. House of Representatives - Internet Law Library - Securities and Investment Laws D'Angelo Law Library: American Law - Securities Law Only a brave person is willing to honestly admit, and fearlessly to face, what a sincere and logical mind discovers. www.catalaw.com /topics/Securities.shtml

SEC Filing - The SCO Group These changes could cause deferment of revenue recognized in current periods to subsequent periods or accelerate recognition of deferred revenue to current periods, each of which could cause shortfalls in meeting securities analysts and investors' expectations. This also might make it more difficult for us to sell equity securities in the future at a time and at a price that we deem appropriate. Security Ownership of Certain Beneficial Owners and Management ir.sco.com /EdgarDetail.cfm?CompanyID=CALD&CIK=1102542&FID=1047469-03-3091&SID=03-00

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