Regulation of investment advisers [electronic resource]
Covers the registration and regulation of investment advisers under the Investment Advisers Act of 1940 and related legislation, including compliance with Securities and Exchange Commission reporting requirements, Treasury Department regulations, and Labor Department regulations; state and federal i...
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| Online Access: |
Full Text (via ProView) |
|---|---|
| Main Authors: | , |
| Other title: | ProView. |
| Format: | Electronic Serial |
| Language: | English |
| Published: |
[St. Paul, Minnesota] :
Thomson Reuters,
[2011]-
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| Series: | Securities law handbook series.
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| Subjects: |
MARC
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| 310 | |a Updated annually. | ||
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| 490 | 1 | |a Securities law handbook series. | |
| 500 | |a Authors <2011- >: Thomas P. Lemke, Gerald T. Lins. | ||
| 504 | |a Includes bibliographical references and index. | ||
| 516 | |a Thomson Reuters ProView. | ||
| 520 | |a Covers the registration and regulation of investment advisers under the Investment Advisers Act of 1940 and related legislation, including compliance with Securities and Exchange Commission reporting requirements, Treasury Department regulations, and Labor Department regulations; state and federal investment restrictions; conflict of interest issues; and advertising restrictions. | ||
| 588 | |a Description based on title page, viewed April 20, 2017. | ||
| 650 | 0 | |a Investment advisors |x Legal status, laws, etc. |z United States. | |
| 650 | 0 | |a Securities |z United States. | |
| 700 | 1 | |a Lemke, Thomas P., |e author. | |
| 700 | 1 | |a Lins, Gerald T., |e author. | |
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| 776 | 0 | 8 | |i Print version: |t Regulation of investment advisers |x 1076-2337 |w (DLC) 94640840. |
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| 830 | 0 | |a Securities law handbook series. | |
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