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  1. 141
    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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  2. 142
    Investor and industry perspectives on investment advisers and broker-dealers /

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

    Published 2008
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
    Full Text (via ProQuest)
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  3. 143
    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.…”
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  4. 144
    Investor and industry perspectives on investment advisers and broker-dealers /

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

    Published 2008
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
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  5. 145
    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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  6. 146
    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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  7. 147
    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
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
    Government Document Book
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  8. 148
    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. http://id.loc.gov/authorities/subjects/sh2008104882.…”
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  9. 149
    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
    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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  10. 150
    National Securities Markets Improvement Act of 1996.

    National Securities Markets Improvement Act of 1996.

    Published 1996
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
    Government Document Book
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  11. 151
    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
    Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
    Online Access
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  12. 152
    12th annual National Institute on Securities Fraud

    12th annual National Institute on Securities Fraud

    Published 2018
    Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
    Full Text (via HeinOnline)
    Electronic Conference Proceeding eBook
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  13. 153
    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…”
    Law Students, Faculty, and Staff (via Westlaw)
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  14. 154
    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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  15. 155
    The seventh annual National Institute on Securities Fraud

    The seventh annual National Institute on Securities Fraud

    Published 2012
    Subjects: “…Investment advisors Legal status, laws, etc. United States Congresses.…”
    Full Text (via HeinOnline)
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  16. 156
    10th annual National Institute on Securities Fraud

    10th annual National Institute on Securities Fraud

    Published 2015
    Subjects: “…Investment advisors Legal status, laws, etc. United States Congresses.…”
    Full Text (via HeinOnline)
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