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Showing 141 - 160 results of 161 for search '"Investment advisors Legal status, laws, etc."', query time: 0.10s Refine Results
  1. 141
    Investor and industry perspectives on investment advisers and broker-dealers /

    Investor and industry perspectives on investment advisers and broker-dealers /

    Published 2008
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  2. 142
    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.…”
    Government Document Book
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  3. 143
    Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exercise investment discretion : report (to accompany H.R. 616) (including cost estimate of the Congressional Budget Office)

    Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exerc...

    Published 1993
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  4. 144
    The Securities Investment Promotion Act of 1996 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 1815.

    The Securities Investment Promotion Act of 1996 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 1815.

    Published 1996
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
    Government Document Book
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  5. 145
    The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996.

    The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, s...

    Published 1996
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
    Search for the full-text version of this title in HathiTrust
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  6. 146
    Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991.

    Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Se...

    Published 1991
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  7. 147
    Strengthening Access to Valuable Education and Retirement Support Act of 2015 : report together with dissenting views (to accompany H.R. 4294) (including cost estimate of the Congressional Budget Office)

    Strengthening Access to Valuable Education and Retirement Support Act of 2015 : report together with dissenting views (to accompany H.R. 4294) (including cost estimate of the Congr...

    Published 2016
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
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  8. 148
    Strengthening Access to Valuable Education and Retirement Support Act of 2015 : report together with dissenting views (to accompany H.R. 4294) (including cost estimate of the Congressional Budget Office)

    Strengthening Access to Valuable Education and Retirement Support Act of 2015 : report together with dissenting views (to accompany H.R. 4294) (including cost estimate of the Congr...

    Published 2016
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.…”
    Government Document Book
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  9. 149
    Broker-dealer & investment adviser

    Broker-dealer & investment adviser

    Subjects:
    Law Students, Faculty, and Staff (via Westlaw)
    Electronic Website
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  10. 150
    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
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    Connect to online resource
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  11. 151
    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:
    Connect to online resource
    Connect to online resource (pt. 1)
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  12. 152
    Department of Labor's proposed fiduciary rule : hearing before the Subcommittee on Oversight of the Committee on Ways and Means, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, September 30, 2015.

    Department of Labor's proposed fiduciary rule : hearing before the Subcommittee on Oversight of the Committee on Ways and Means, U.S. House of Representatives, One Hundred Fourteen...

    Published 2017
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    Government Document Book
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  13. 153
    Assessing the limitations of the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010.

    Assessing the limitations of the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Commi...

    Published 2011
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    Connect to online resource
    Connect to online resource
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  14. 154
    Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010.

    Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Com...

    Published 2010
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  15. 155
    National Securities Markets Improvement Act of 1996.

    National Securities Markets Improvement Act of 1996.

    Published 1996
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    Government Document Book
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  16. 156
    Department of Labor's proposed fiduciary rule : hearing before the Subcommittee on Oversight of the Committee on Ways and Means, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, September 30, 2015.

    Department of Labor's proposed fiduciary rule : hearing before the Subcommittee on Oversight of the Committee on Ways and Means, U.S. House of Representatives, One Hundred Fourteen...

    Published 2017
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    Online Access
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  17. 157
    12th annual National Institute on Securities Fraud

    12th annual National Institute on Securities Fraud

    Published 2018
    Subjects:
    Full Text (via HeinOnline)
    Electronic Conference Proceeding eBook
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  18. 158
    Regulation of investment management & fiduciary services

    Regulation of investment management & fiduciary services

    Published 2010
    Subjects:
    Law Students, Faculty, and Staff (via Westlaw)
    Electronic Website
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  19. 159
    Index of federal securities statutes and regulations

    Index of federal securities statutes and regulations

    Subjects:
    Law Students, Faculty, and Staff (via Lexis+)
    Electronic Website
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  20. 160
    The seventh annual National Institute on Securities Fraud

    The seventh annual National Institute on Securities Fraud

    Published 2012
    Subjects:
    Full Text (via HeinOnline)
    Electronic Conference Proceeding eBook
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