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Showing 81 - 100 results of 156 for search '"Investment advisors Legal status, laws, etc. United States"', query time: 0.07s Refine Results
  1. 81
    Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)

    Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)

    Published 2013
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  2. 82
    Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)

    Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)

    Published 2013
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  3. 83
    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 Hundred...

    Published 1993
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  4. 84
    Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)

    Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)

    Published 2015
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  5. 85
    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
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  6. 86
    National Securities Markets Improvement Act of 1996 110 Stat. 3416, P.L. 104-290.

    National Securities Markets Improvement Act of 1996 110 Stat. 3416, P.L. 104-290.

    Published 1996
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
    Full Text (via HeinOnline)
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  7. 87
    SBIC Advisers Relief Act of 2015 : report (to accompany H.R. 432) (including cost estimate of the Congressional Budget Office)

    SBIC Advisers Relief Act of 2015 : report (to accompany H.R. 432) (including cost estimate of the Congressional Budget Office)

    Published 2015
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  8. 88
    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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  9. 89
    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 Energ...

    Published 1986
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  10. 90
    Investment adviser registration package

    Investment adviser registration package

    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  11. 91
    Investment adviser regulation in a nutshell /

    Investment adviser regulation in a nutshell / by Haas, Jeffrey J.

    Published 2008
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882…”
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  12. 92
    Advising private funds index

    Advising private funds index by Jordan, Nora M., 1958-, Landa, Leor, Rowland, Gregory S., Hong, Michael S.

    Published 2010
    Subjects: “…Investment advisors Legal status, laws, etc. United States Indexes.…”
    Law Students, Faculty, and Staff (via Westlaw)
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  13. 93
    Soft dollars and other trading activities

    Soft dollars and other trading activities by Lemke, Thomas P., Lins, Gerald T.

    Published 2010
    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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  14. 94
    Additional reforms to 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, first session, December 9, 2009.

    Additional reforms to the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on...

    Published 2010
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  15. 95
    Additional reforms to 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, first session, December 9, 2009.

    Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee...

    Published 2010
    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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  16. 96
    Additional reforms to 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, first session, December 9, 2009.

    Additional reforms to the Securities Investor Protection Act hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on...

    Published 2010
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  17. 97
    Investment Advisers Modernization Act of 2016 : report together with minority views (to accompany H.R. 5424) (including cost estimate of the Congressional Budget Office)

    Investment Advisers Modernization Act of 2016 : report together with minority views (to accompany H.R. 5424) (including cost estimate of the Congressional Budget Office)

    Published 2016
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  18. 98
    Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)

    Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)

    Published 2015
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
    Government Document Book
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  19. 99
    Corporate Governance Reform and Transparency Act of 2016 : report together with minority views (to accompany H.R. 5311) (including cost estimate of the Congressional Budget Office)

    Corporate Governance Reform and Transparency Act of 2016 : report together with minority views (to accompany H.R. 5311) (including cost estimate of the Congressional Budget Office)

    Published 2016
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  20. 100
    The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266.

    The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266.

    Published 1992
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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