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Showing 121 - 140 results of 161 for search '"Investment advisors Legal status, laws, etc."', query time: 0.07s Refine Results
  1. 121
    Investor Clarity and Bank Parity Act : report (to accompany H.R. 3093) (including cost estimate of the Congressional Budget Office).

    Investor Clarity and Bank Parity Act : report (to accompany H.R. 3093) (including cost estimate of the Congressional Budget Office).

    Published 2017
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  2. 122
    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 Hundr...

    Published 1992
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  3. 123
    Investor Clarity and Bank Parity Act : report (to accompany H.R. 4096) (including cost estimate of the Congressional Budget Office)

    Investor Clarity and Bank Parity Act : report (to accompany H.R. 4096) (including cost estimate of the Congressional Budget Office)

    Published 2016
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  4. 124
    The role of state securities regulators in protecting investors hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004.

    The role of state securities regulators in protecting investors hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congre...

    Published 2005
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  5. 125
    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 Representativ...

    Published 1976
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  6. 126
    The SEC and the First Amendment.

    The SEC and the First Amendment.

    Published 1984
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  7. 127
    ERISA for money managers and advisors

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

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    Law Students, Faculty, and Staff (via Westlaw)
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  8. 128
    Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : 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, first session, September 13, 2011.

    Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets a...

    Published 2012
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  9. 129
    Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight 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, first session, September 13, 2011.

    Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight hearing before the Subcommittee on Capital Markets and...

    Published 2012
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  10. 130
    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
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  11. 131
    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
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  12. 132
    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
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  13. 133
    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 Hundre...

    Published 1993
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  14. 134
    Advising private funds a comprehensive guide to representing hedge funds, private equity funds & their advisers.

    Advising private funds a comprehensive guide to representing hedge funds, private equity funds & their advisers. by Jordan, Nora M., 1958-, Landa, Leor, Rowland, Gregory S., Hong, Michael S.

    Published 2010
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  15. 135
    DOL's 2016 fiduciary rule on investment advice /

    DOL's 2016 fiduciary rule on investment advice / by Topoleski, John J.

    Published 2018
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  16. 136
    The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004.

    The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Cong...

    Published 2005
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    Connect to online resource
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  17. 137
    The Securities Investor Protection Corporation : past, present, and future : 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, March 7, 2012.

    The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committe...

    Published 2012
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  18. 138
    The Securities Investor Protection Corporation : past, present, and future : 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, March 7, 2012.

    The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committe...

    Published 2013
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  19. 139
    The Securities Investor Protection Corporation : past, present, and future : 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, March 7, 2012.

    The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committe...

    Published 2012
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  20. 140
    Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013.

    Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the...

    Published 2013
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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