Suggested Topics within your search.
Suggested Topics within your search.
- Investment advisors 93
- Legal status, laws, etc 93
- Law and legislation 53
- Stockbrokers 20
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- Investments 16
- Securities 16
- Securities fraud 10
- Defined contribution pension plans 8
- Securities industry 8
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- States 4
- Banking law 3
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- Finance, Personal 3
- Insider trading in securities 3
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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-fourt...
Published 1976Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest)
Government Document Electronic eBook -
2
Regulation of investment advisers
Published 2011Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProView)
Electronic Serial -
3
Regulation of financial planners
Published 2011Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProView)
Electronic Website -
4
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 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2016-H782-1
eBook -
5
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 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2016-J862-8
eBook -
6
Regulation of money managers mutual funds and advisers /
Published 2001Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via Vital Law)
Electronic Continuing Resource -
7
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 1969Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest)
Government Document Electronic eBook -
8
Restatement, third, trusts: prudent investor rule
Published 1987Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via HeinOnline)
Electronic Website -
9
Veto Message on H.J. Res. 88 : Message from the President of the United States.
Published 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2016 H340-1
Government Document eBook -
10
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 2011Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Online Access: H.rp.112-143
Government Document Electronic eBook -
11
Labor Department Issues Final Rule on Fiduciaries and Investment Advice : CRS Legal Sidebar.
Published 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest)
eBook -
12
Private Fund Investment Advisers Registration Act of 2009 report (to accompany H.R. 3818) (including cost estimate of the Congressional Budget Office)
Published 2010Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
Connect to online resource
Connect to online resource
Connect to online resource
Connect to online resource
Government Document Electronic eBook -
13
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 2013Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
Online Access
Online Access
Government Document eBook -
14
Affordable Retirement Advice for Savers Act.
Published 2017Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): H.rp.115-371/1
Government Document eBook -
15
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 1976Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest)
Government Document Electronic eBook -
16
Mutual Fund Litigation Reform Act.
Published 2018Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2018 H373-18873
Government Document eBook -
17
Investment advisers, financial planners, and customer protection hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy...
Published 1987Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest)
Government Document Electronic eBook -
18
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 2019Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
Online Access
Online Access
Government Document eBook -
19
Regulation of financial planners
Published 2010Subjects: “…Investment advisors Legal status, laws, etc. United States States.…”
Law Students, Faculty, and Staff (via Westlaw)
Electronic Website -
20
Investor Clarity and Bank Parity Act.
Published 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2016 H373-20
Government Document eBook