The Resource Investment adviser regulation : a step-by-step guide to compliance and the law, edited by Clifford E. Kirsch

Investment adviser regulation : a step-by-step guide to compliance and the law, edited by Clifford E. Kirsch

Label
Investment adviser regulation : a step-by-step guide to compliance and the law
Title
Investment adviser regulation
Title remainder
a step-by-step guide to compliance and the law
Statement of responsibility
edited by Clifford E. Kirsch
Contributor
Subject
Genre
Language
eng
Member of
Continues
Cataloging source
NLL
Characteristic
updating web site
Entry convention
integrated entry
Frequency
unknown
LC call number
KF1072
LC item number
.K573 (INTERNET)
Nature of contents
dictionaries
Regularity
unknown
http://library.link/vocab/relatedWorkOrContributorName
  • Kirsch, Clifford E
  • Practising Law Institute
Series statement
PLI's corporate and securities law library
http://library.link/vocab/subjectName
  • Investment advisors
  • Securities
Label
Investment adviser regulation : a step-by-step guide to compliance and the law, edited by Clifford E. Kirsch
Instantiates
Publication
Note
  • First-2nd eds. by Clifford E. Kirsch
  • "#32841."
Bibliography note
Includes bibliographical references and index
Color
multicolored
Contents
Pt. 1. Background -- pt. 2. Advisers status; SEC-state jurisdiction -- pt. 3. Registration and disclosure -- pt. 4. Attracting clients -- pt. 5. The adviser-client relationship -- pt. 6. Brokerage and trading practices -- pt. 7. Adviser compliance programs -- pt. 8. Recordkeeping, SEC examinations, and enforcement -- pt. 9. State adviser regulations -- pt. 10. Retail advisory services -- pt. 11. Advisory products -- pt. 12. Advisory services in the retirement marketplace -- pt. 13. Institutional and offshore advisory services -- pt. 14. The municipal marketplace -- Appendices
Dimensions
unknown
Edition
3rd ed
Extent
1 online resource
Form of item
online
Specific material designation
remote
System control number
(OCoLC)818363139
Label
Investment adviser regulation : a step-by-step guide to compliance and the law, edited by Clifford E. Kirsch
Publication
Note
  • First-2nd eds. by Clifford E. Kirsch
  • "#32841."
Bibliography note
Includes bibliographical references and index
Color
multicolored
Contents
Pt. 1. Background -- pt. 2. Advisers status; SEC-state jurisdiction -- pt. 3. Registration and disclosure -- pt. 4. Attracting clients -- pt. 5. The adviser-client relationship -- pt. 6. Brokerage and trading practices -- pt. 7. Adviser compliance programs -- pt. 8. Recordkeeping, SEC examinations, and enforcement -- pt. 9. State adviser regulations -- pt. 10. Retail advisory services -- pt. 11. Advisory products -- pt. 12. Advisory services in the retirement marketplace -- pt. 13. Institutional and offshore advisory services -- pt. 14. The municipal marketplace -- Appendices
Dimensions
unknown
Edition
3rd ed
Extent
1 online resource
Form of item
online
Specific material designation
remote
System control number
(OCoLC)818363139

Library Locations

    • Biddle Law LibraryBorrow it
      3400 Chestnut Street, Philadelphia, Pennsylvania, 19104, US
      39.954941 -75.193362
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