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Showing 1 - 20 results of 94 for search '"Investment advisors Legal status, laws, etc."', query time: 0.05s Refine Results
  1. 1
    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.…”
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  2. 2
    Financial advice markets : a cross-country comparison /

    Financial advice markets : a cross-country comparison / by Burke, Jeremy, 1979-

    Published 2015
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  3. 3
    Regulation of investment advisers

    Regulation of investment advisers by Lemke, Thomas P., Lins, Gerald T.

    Published 2011
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  4. 4
    Regulation of financial planners

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

    Published 2011
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  5. 5
    Description of H.R. 4294, the Strengthening Access to Valuable Education and Retirement Support (or "Savers") Act of 2015 : Scheduled for Markup by the House Committee on Ways and Means on February 3, 2016.

    Description of H.R. 4294, the Strengthening Access to Valuable Education and Retirement Support (or "Savers") Act of 2015 : Scheduled for Markup by the House Committee on Ways and...

    Published 2016
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
    Full Text (via ProQuest): CIS 2016-H782-1
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  6. 6
    Description of an Amendment in the Nature of a Substitute to the Provisions of H.R. 4294, the Strengthening Access to Valuable Education and Retirement Support (or "Savers") Act of 2015.

    Description of an Amendment in the Nature of a Substitute to the Provisions of H.R. 4294, the Strengthening Access to Valuable Education and Retirement Support (or "Savers") Act of...

    Published 2016
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
    Full Text (via ProQuest): CIS 2016-J862-8
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  7. 7
    Regulation of money managers mutual funds and advisers /

    Regulation of money managers mutual funds and advisers / by Frankel, Tamar, Laby, Arthut B.

    Published 2001
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  8. 8
    Investment Company Amendments Act of 1969 hearings before the United States Senate Committee on Banking and Currency, Ninety-First Congress, first session, on Apr. 15, 17, 18, 1969.

    Investment Company Amendments Act of 1969 hearings before the United States Senate Committee on Banking and Currency, Ninety-First Congress, first session, on Apr. 15, 17, 18, 1969...

    Published 1969
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  9. 9
    Restatement, third, trusts: prudent investor rule

    Restatement, third, trusts: prudent investor rule

    Published 1987
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  10. 10
    Veto Message on H.J. Res. 88 : Message from the President of the United States.

    Veto Message on H.J. Res. 88 : Message from the President of the United States.

    Published 2016
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    Full Text (via ProQuest): CIS 2016 H340-1
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  11. 11
    Small Business Capital Access and Job Preservation Act report together with minority views (to accompany H.R. 1082) (including cost estimate of the Congressional Budget Office)

    Small Business Capital Access and Job Preservation Act report together with minority views (to accompany H.R. 1082) (including cost estimate of the Congressional Budget Office)

    Published 2011
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    Online Access: H.rp.112-143
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  12. 12
    Labor Department Issues Final Rule on Fiduciaries and Investment Advice : CRS Legal Sidebar.

    Labor Department Issues Final Rule on Fiduciaries and Investment Advice : CRS Legal Sidebar.

    Published 2016
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  13. 13
    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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  14. 14
    H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012.

    H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second se...

    Published 2013
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  15. 15
    Affordable Retirement Advice for Savers Act.

    Affordable Retirement Advice for Savers Act.

    Published 2017
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    Full Text (via ProQuest): H.rp.115-371/1
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  16. 16
    Investment advisers act amendments hearings before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, second session , on H.R. 12981 and H.R. 13737 ... May 20 and 21, 1976.

    Investment advisers act amendments hearings before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives...

    Published 1976
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  17. 17
    Mutual Fund Litigation Reform Act.

    Mutual Fund Litigation Reform Act.

    Published 2018
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    Full Text (via ProQuest): CIS 2018 H373-18873
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  18. 18
    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 Energy...

    Published 1987
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  19. 19
    An Act to Amend the Investment Advisers Act of 1940 to Exempt Investment Advisers, Who Solely Advise Certain Rural Business Investment Companies, and for Other Purposes.

    An Act to Amend the Investment Advisers Act of 1940 to Exempt Investment Advisers, Who Solely Advise Certain Rural Business Investment Companies, and for Other Purposes.

    Published 2019
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  20. 20
    Regulation of financial planners

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

    Published 2010
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    Law Students, Faculty, and Staff (via Westlaw)
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