Regulation of financial planners

Regulation of financial planners [electronic resource] / Thomas P. Lemke, Gerald T. Lins.

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Provides a comprehensive overview of financial planning. The first part of the treatise defines financial planning and discusses financial planning regulation, including state and federal regulation, self regulation, and civil and criminal liability. The second part analyzes the laws in each state a...

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Bibliographic Details
Online Access: Full Text (via ProView)
Main Authors: Lemke, Thomas P. (Author), Lins, Gerald T. (Author)
Other title:ProView.
Format: Electronic Website
Language:English
Published: [St. Paul, Minnesota] : Thomson Reuters, [2011]-
Series:Securities law series ; v. 19-19A.
Subjects:
Financial planners > Legal status, laws, etc. > United States.
Financial planners > Legal status, laws, etc. > United States > States.
Investment advisors > Legal status, laws, etc. > United States.
Investment advisors > Legal status, laws, etc. > United States > States.
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