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Showing 1 - 17 results of 17 for search '"Investment advisors Legal status, laws, etc."', query time: 0.07s Refine Results
  1. 1
    Private Fund Investment Advisers Registration Act of 2009 report (to accompany H.R. 3818) (including cost estimate of the Congressional Budget Office)

    Private Fund Investment Advisers Registration Act of 2009 report (to accompany H.R. 3818) (including cost estimate of the Congressional Budget Office)

    Published 2010
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  2. 2
    Investment advisers act amendments of 1976 hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, on S. 2849 ... February 3 and 4, 1976.

    Investment advisers act amendments of 1976 hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourt...

    Published 1976
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  3. 3
    Investment advisers act amendments of 1976 report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2849 together with minority and additional views, May 20, 1976.

    Investment advisers act amendments of 1976 report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2849 together with minority and add...

    Published 1976
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  4. 4
    Investment advisers : current level of oversight puts investors at risk : report to Congressional requesters /

    Investment advisers : current level of oversight puts investors at risk : report to Congressional requesters /

    Published 1990
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  5. 5
    Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, June 11, 1986.

    Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energ...

    Published 1986
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  6. 6
    Additional reforms to the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009.

    Additional reforms to the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on...

    Published 2010
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  7. 7
    The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266.

    The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266.

    Published 1992
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  8. 8
    Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992.

    Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundr...

    Published 1992
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  9. 9
    Retirement Security Advice Act of 2001 : report together with minority views (to accompany H.R. 2269) (including cost estimate of the Congressional Budget Office)

    Retirement Security Advice Act of 2001 : report together with minority views (to accompany H.R. 2269) (including cost estimate of the Congressional Budget Office)

    Published 2001
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  10. 10
    H.R. 2269, the Retirement Security Advice Act : hearing before the Subcommittee on Employer-Employee Relations of the Committee on Education and the Workforce, House of Representatives, One Hundred Seventh Congress, first session, hearing held in Washington, DC, July 17, 2001.

    H.R. 2269, the Retirement Security Advice Act : hearing before the Subcommittee on Employer-Employee Relations of the Committee on Education and the Workforce, House of Representat...

    Published 2002
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  11. 11
    Providing for consideration of H.R. 2269, Retirement Security Advice Act of 2001 : report (to accompany H. Res. 288)

    Providing for consideration of H.R. 2269, Retirement Security Advice Act of 2001 : report (to accompany H. Res. 288)

    Published 2001
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  12. 12
    Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993.

    Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundre...

    Published 1993
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  13. 13
    The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004.

    The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Cong...

    Published 2005
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  14. 14
    The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996.

    The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, s...

    Published 1996
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  15. 15
    Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991.

    Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Se...

    Published 1991
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  16. 16
    Pension Security Act of 2002 : report together with minority views (to accompany H.R. 3762) (including cost estimate of the Congressional Budget Office)

    Pension Security Act of 2002 : report together with minority views (to accompany H.R. 3762) (including cost estimate of the Congressional Budget Office)

    Published 2002
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  17. 17
    Pension Security Act of 2003 : report together with minority views (to accompany H.R. 1000) (including cost estimate of the Congressional Budget Office)

    Pension Security Act of 2003 : report together with minority views (to accompany H.R. 1000) (including cost estimate of the Congressional Budget Office)

    Published 2003
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    Connect to online resource (pt. 1)
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