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Showing 1 - 19 results of 19 for search '"Investment advisors Legal status, laws, etc. United States."', query time: 0.07s Refine Results
  1. 1
    Restatement, third, trusts: prudent investor rule

    Restatement, third, trusts: prudent investor rule

    Published 1987
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  2. 2
    H.R. 4624, the Investment Adviser Oversight Act of 2012

    H.R. 4624, the Investment Adviser Oversight Act of 2012

    Published 2012
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
    Full Text (via ProQuest): CIS 2013-H371-17
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  3. 3
    Description of chairman's amendment in the nature of a substitute to H.R. 2269, the "Retirement Security Advice Act of 2001" : scheduled for a markup by the House Committee on Ways and Means on November 7, 2001.

    Description of chairman's amendment in the nature of a substitute to H.R. 2269, the "Retirement Security Advice Act of 2001" : scheduled for a markup by the House Committee on Ways...

    Published 2001
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  4. 4
    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 Representati...

    Published 2002
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  5. 5
    Investment Adviser Regulatory Enhancement and Disclosure Act of 1993 : report (to accompany H.R. 578) (including cost estimate of the Congressional Budget Office)

    Investment Adviser Regulatory Enhancement and Disclosure Act of 1993 : report (to accompany H.R. 578) (including cost estimate of the Congressional Budget Office)

    Published 1993
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
    Search for the full-text version of this title in HathiTrust
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  6. 6
    Technical explanation of the revenue provisions of H.R. 3762, the "Pension Security Act of 2002" /

    Technical explanation of the revenue provisions of H.R. 3762, the "Pension Security Act of 2002" /

    Published 2002
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  7. 7
    Investment Company and Investment Advisor's Act of 1940 H.R. 10065, P.L. 76-768, 54 Stat. 789.

    Investment Company and Investment Advisor's Act of 1940 H.R. 10065, P.L. 76-768, 54 Stat. 789.

    Published 1981
    Subjects: “…Investment advisors Legal status, laws, etc. United States Legislative history.…”
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  8. 8
    Investment Company Act of 1940 and Investment Advisors Act of 1940 P.L. 768--76th Cong., Ch. 686 3d Sess.

    Investment Company Act of 1940 and Investment Advisors Act of 1940 P.L. 768--76th Cong., Ch. 686 3d Sess.

    Published 1940
    Subjects: “…Investment advisors Legal status, laws, etc. United States Legislative history.…”
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  9. 9
    Providing for consideration of H.R. 1000, Pension Security Act of 2003 : report (to accompany H. Res. 230)

    Providing for consideration of H.R. 1000, Pension Security Act of 2003 : report (to accompany H. Res. 230)

    Published 2003
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  10. 10
    ERISA for money managers and advisors

    ERISA for money managers and advisors by Lemke, Thomas P., Lins, Gerald T.

    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882…”
    Law Students, Faculty, and Staff (via Westlaw)
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  11. 11
    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
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  12. 12
    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
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  13. 13
    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
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  14. 14
    Broker-dealer & investment adviser

    Broker-dealer & investment adviser

    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882…”
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  15. 15
    The RIA's compliance solution book answers for the critical questions /

    The RIA's compliance solution book answers for the critical questions / by Demby, Elayne Robertson, 1962-

    Published 2006
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
    Full Text (via Wiley)
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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
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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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
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  18. 18
    Regulation of investment management & fiduciary services

    Regulation of investment management & fiduciary services

    Published 2010
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882…”
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  19. 19
    Index of federal securities statutes and regulations

    Index of federal securities statutes and regulations

    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882…”
    Law Students, Faculty, and Staff (via Lexis+)
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