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  1. 1
    Regulation of financial planners

    Regulation of financial planners by Lemke, Thomas P., Lins, Gerald T.

    Published 2011
    Subjects: “…Financial planners Legal status, laws, etc. United States.…”
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  2. 2
    Regulation of financial planners

    Regulation of financial planners by Lemke, Thomas P., Lins, Gerald T.

    Published 2010
    Subjects: “…Financial planners Legal status, laws, etc. United States.…”
    Law Students, Faculty, and Staff (via Westlaw)
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  3. 3
    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 Hundred...

    Published 1992
    Subjects: “…Financial planners Legal status, laws, etc. United States.…”
    Full Text (via ProQuest)
    Government Document Electronic eBook
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  4. 4
    The impact of the Dodd-Frank Act on municipal finance : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, July 20, 2012.

    The impact of the Dodd-Frank Act on municipal finance : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Servic...

    Published 2012
    Subjects: “…Financial planners Legal status, laws, etc. United States.…”
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  5. 5
    Family Office Technical Correction Act of 2017 : report (to accompany H.R. 3972) (including cost estimate of the Congressional Budget Office).

    Family Office Technical Correction Act of 2017 : report (to accompany H.R. 3972) (including cost estimate of the Congressional Budget Office).

    Published 2017
    Subjects: “…Financial planners Legal status, laws, etc. United States.…”
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  6. 6
    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 Hundred...

    Published 1993
    Subjects: “…Financial planners Legal status, laws, etc. United States.…”
    Full Text (via ProQuest)
    Government Document Electronic eBook
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  7. 7
    Mutual funds sales practices a practical guide to FINRA, SEC, & other regulatory requirements.

    Mutual funds sales practices a practical guide to FINRA, SEC, & other regulatory requirements. by Lemke, Thomas P., Lins, Gerald T.

    Published 2010
    Subjects: “…Financial planners Legal status, laws, etc. United States.…”
    Law Students, Faculty, and Staff (via Westlaw)
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