Cover is for reference only

Investment adviser regulation in a nutshell

Saved in:
Bibliographic Details
Main Authors: Haas Jeffrey J
Group Author: Howard Steven R., J.D
Published: Thomson West,
Publisher Address: St. Paul, MN
Publication Dates: c2008.
Literature type: Book
Language: English
Series: West nutshell series
Subjects:
Brokers > Legal status, laws, etc. > United States
Securities > United States
Investment advisors > Legal status, laws, etc. > United States
Carrier Form: lv, 558 p.: ill. ; 19 cm.
ISBN: 9780314172655 (pbk. : alk. paper)
0314172653 (pbk. : alk. paper)
Index Number: D971
CLC: D971.222.8
Call Number: D971.222.8/H112
Contents: Includes index.
Introduction -- Who is an investment adviser? -- Federal and state authority over investment advisers -- Hedge fund and collateralized debt obligation (CDO) advisers -- Registration and form ADV -- Advertising by investment advisers -- The advisory relationship -- Performance of duties -- Wrap fee programs -- Proprietary and insider trading -- Recordkeeping requirements -- Chief compliance officers (CCOs) and issues relating to them -- Compliance, inspection and enforcement under the Advisers Act -- Limited private right of action -- Purchase and sale of investment advisers -- Special issues

Related Book Recommendations