Suggested Topics within your search.
Suggested Topics within your search.
- Investment advisors 155
- Legal status, laws, etc 155
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- Stockbrokers 32
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- Securities 24
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- Securities fraud 15
- Prevention 12
- Defined contribution pension plans 11
- Financial planners 11
- 401(k) plans 10
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- Financial services industry 6
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- Private equity 4
- Stock exchanges 4
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1
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 1976Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest)
Government Document Electronic eBook -
2
Regulation of investment advisers
Published 2011Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProView)
Electronic Serial -
3
The regulation of money managers : the Investment Company Act and the Investment Advisers Act /
Published 1978Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Book -
4
Regulation of financial planners
Published 2011Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProView)
Electronic Website -
5
Regulation of financial planners /
Published 1991Subjects: “…Investment advisors Legal status, laws, etc. United States States.…”
Book -
6
Description of H.R. 4294, the Strengthening Access to Valuable Education and Retirement Support (or "Savers") Act of 2015 : Scheduled for Markup by the House Committee on Ways and...
Published 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2016-H782-1
eBook -
7
Description of an Amendment in the Nature of a Substitute to the Provisions of H.R. 4294, the Strengthening Access to Valuable Education and Retirement Support (or "Savers") Act of...
Published 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2016-J862-8
eBook -
8
Investment adviser registration package
Published 1991Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Government Document Microfilm Book -
9
Investment management regulation /
Published 2005Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Book -
10
Investment Company Amendments Act of 1969 hearings before the United States Senate Committee on Banking and Currency, Ninety-First Congress, first session, on Apr. 15, 17, 18, 1969...
Published 1969Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest)
Government Document Electronic eBook -
11
Investment management regulation /
Published 1998Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Book -
12
Regulation of money managers mutual funds and advisers /
Published 2001Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via Vital Law)
Electronic Continuing Resource -
13
The regulation of money managers : mutual funds and advisers /
Published 2001Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Book -
14
Veto Message on H.J. Res. 88 : Message from the President of the United States.
Published 2016Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via ProQuest): CIS 2016 H340-1
Government Document eBook -
15
Small Business Capital Access and Job Preservation Act report together with minority views (to accompany H.R. 1082) (including cost estimate of the Congressional Budget Office)
Published 2011Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Online Access: H.rp.112-143
Government Document Electronic eBook -
16
Restatement, third, trusts: prudent investor rule
Published 1987Subjects: “…Investment advisors Legal status, laws, etc. United States.…”
Full Text (via HeinOnline)
Electronic Website -
17
Investment adviser registration package.
Published 1994Subjects: “…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
Government Document Book -
18
Investment advisers act of 1940 as in effect June 4, 1975.
Published 1977Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
Government Document Book -
19
Investment advisers act of 1940 and general rules and regulations thereunder [as in effect January 16, 1967]
Published 1967Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
Government Document Book -
20
Private Fund Investment Advisers Registration Act of 2009 report (to accompany H.R. 3818) (including cost estimate of the Congressional Budget Office)
Published 2010Subjects: “…Investment advisors Legal status, laws, etc. United States. http://id.loc.gov/authorities/subjects/sh2008104882.…”
Government Document Microfilm Book