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Showing 1 - 11 results of 11 for search 'Mutual funds and advisers.', query time: 0.05s Refine Results
  1. 1
    Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds.

    Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds.

    Published 1998
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  2. 2
    The regulation of money managers : mutual funds and advisers /

    The regulation of money managers : mutual funds and advisers / by Frankel, Tamar

    Published 2001
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  3. 3
    Mutual fund amendments : hearings before the Subcommittee on Commerce and Finance, House of Representatives, Ninety-first Congress, first session, on H.R. 11995, S. 2224, H.R. 13754, and H.R. 14737, bills to amend the Investment company act of 1940, the Investment advisers act of 1940, and the Securities exchange act of 1934.

    Mutual fund amendments : hearings before the Subcommittee...

    Published 1970
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  4. 4
    Regulation of money managers mutual funds and advisers /

    Regulation of money managers mutual funds and advisers / by Frankel, Tamar, Laby, Arthut B.

    Published 2001
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  5. 5
    The regulation of money managers : the Investment Company Act and the Investment Advisers Act /

    The regulation of money managers : the Investment Company Act and the Investment Advisers Act / by Frankel, Tamar

    Published 1978
    “…Regulation of money managers : mutual funds and advisers.…”
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  6. 6
    The regulation of money managers : mutual funds and advisers /

    The regulation of money managers : mutual funds and advisers / by Frankel, Tamar, Laby, Arthur B.

    Published 2015
    “…Mutual funds and advisers.…”
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  7. 7
    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 Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education...

    Published 2005
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  8. 8
    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 Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education...

    Published 2005
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  9. 9
    The Cambridge handbook of investor protection /

    The Cambridge handbook of investor protection /

    Published 2022
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  10. 10
    Securities regulation in cyberspace

    Securities regulation in cyberspace by Chaffee, Eric C., Chaffee, Eric C., Friedman, Howard M.

    Published 2017
    “…Electronic marketing of mutual fund shares --…”
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  11. 11
    Securities regulation in cyberspace /

    Securities regulation in cyberspace / by Friedman, Howard M., Chaffee, Eric C.

    Published 2017
    “…Electronic marketing of mutual fund shares --…”
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