The Resource Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard

Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard

Label
Investment adviser regulation in a nutshell
Title
Investment adviser regulation in a nutshell
Statement of responsibility
by Jeffrey J. Haas, Steven R. Howard
Title variation
Haas and Howard's Investment adviser regulation in a nutshell
Creator
Contributor
Author
Subject
Genre
Language
eng
Member of
Cataloging source
NjRocCCS
http://library.link/vocab/creatorName
Haas, Jeffrey J
Illustrations
illustrations
Index
index present
LC call number
KF1072
LC item number
.H33 2008
Literary form
non fiction
Nature of contents
dictionaries
http://library.link/vocab/relatedWorkOrContributorName
Howard, Steven R.
Series statement
  • West nutshell series
  • Study aids
http://library.link/vocab/subjectName
  • Investment advisors
  • Brokers
  • Stockbrokers
  • Securities
Target audience
specialized
Label
Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard
Instantiates
Publication
Note
  • Includes index
  • ©2015 Cassidy Cataloguing Services, Inc
Carrier category
online resource
Carrier MARC source
rdacarrier
Content category
text
Content type MARC source
rdacontent
Contents
Introduction -- Who is an investment adviser? -- Federal and state authority over investment advisers -- Hedge fund and collateralized debt obligation (CDO) advisers -- Registration and form ADV -- Advertising by investment advisers -- The advisory relationship -- Performance of duties -- Wrap fee programs -- Proprietary and insider trading -- Recordkeeping requirements -- Chief compliance officers (CCOs) and issues relating to them -- Compliance, inspection and enforcement under the Advisers Act -- Limited private right of action -- Purchase and sale of investment advisers -- Special issues relating to the advisory business
Dimensions
unknown
Extent
1 online resource (lv, 558 pages)
Form of item
online
Governing access note
Full text available with subscription to Study Aids package
Media category
computer
Media MARC source
rdamedia
Other physical details
illustrations
Specific material designation
remote
System details
Mode of access: The purchase of an online book carries a 12-month license for online-use only. These products can be viewed on any device with an internet connection. There is no downloadable text or PDF made available to customers
Type of computer file
West Academic eProducts doc viewer
Label
Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard
Publication
Note
  • Includes index
  • ©2015 Cassidy Cataloguing Services, Inc
Carrier category
online resource
Carrier MARC source
rdacarrier
Content category
text
Content type MARC source
rdacontent
Contents
Introduction -- Who is an investment adviser? -- Federal and state authority over investment advisers -- Hedge fund and collateralized debt obligation (CDO) advisers -- Registration and form ADV -- Advertising by investment advisers -- The advisory relationship -- Performance of duties -- Wrap fee programs -- Proprietary and insider trading -- Recordkeeping requirements -- Chief compliance officers (CCOs) and issues relating to them -- Compliance, inspection and enforcement under the Advisers Act -- Limited private right of action -- Purchase and sale of investment advisers -- Special issues relating to the advisory business
Dimensions
unknown
Extent
1 online resource (lv, 558 pages)
Form of item
online
Governing access note
Full text available with subscription to Study Aids package
Media category
computer
Media MARC source
rdamedia
Other physical details
illustrations
Specific material designation
remote
System details
Mode of access: The purchase of an online book carries a 12-month license for online-use only. These products can be viewed on any device with an internet connection. There is no downloadable text or PDF made available to customers
Type of computer file
West Academic eProducts doc viewer

Library Locations

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