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  1. 201
    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. …”
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  2. 202
    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. …”
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  3. 203
    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. …”
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  4. 204
    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. …”
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  5. 205
    Affordable Retirement Advice for Savers Act.

    Affordable Retirement Advice for Savers Act.

    Published 2017
    Subjects:
    Full Text (via ProQuest): H.rp.115-371/1
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  6. 206
    Restricting Advice and Education : DOL's Unworkable Investment Proposal for American Families and Retirees.

    Restricting Advice and Education : DOL's Unworkable Investment Proposal for American Families and Retirees.

    Published 2015
    Subjects:
    Full Text (via ProQuest): CIS 2017-S431-42
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  7. 207
    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 a...

    Published 1976
    Subjects: “…Investment advisors Legal status, laws, etc. United States. …”
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  8. 208
    Regulation Best Interest (Reg BI) : The SEC's Rule for Broker-Dealers.

    Regulation Best Interest (Reg BI) : The SEC's Rule for Broker-Dealers.

    Published 2019
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  9. 209
    Department of Labor's Proposed Fiduciary Rule.

    Department of Labor's Proposed Fiduciary Rule.

    Published 2015
    Subjects:
    Full Text (via ProQuest): CIS 2017-H781-29
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  10. 210
    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. …”
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  11. 211
    Putting Investors First? Examining the SEC's Best Interest Rule.

    Putting Investors First? Examining the SEC's Best Interest Rule.

    Published 2019
    Subjects: “…Investment advisors Government policy United States.…”
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  12. 212
    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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  13. 213
    Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process.

    Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process.

    Published 2017
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  14. 214
    Office of Compliance Inspections and Examinations' management of investment adviser examination coverage goals.

    Office of Compliance Inspections and Examinations' management of investment adviser examination coverage goals.

    Published 2016
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  15. 215
    Mutual Fund Litigation Reform Act.

    Mutual Fund Litigation Reform Act.

    Published 2018
    Subjects:
    Full Text (via ProQuest): CIS 2018 H373-18873
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  16. 216
    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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  17. 217
    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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  18. 218
    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. …”
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  19. 219
    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. …”
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  20. 220
    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-fou...

    Published 1976
    Subjects: “…Investment advisors Legal status, laws, etc. United States. …”
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