Coverart for item
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
Investment adviser regulation
Creator
Contributor
Subject
Language
eng
Member of
Cataloging source
ONL
http://library.link/vocab/creatorName
Haas, Jeffrey J
Illustrations
illustrations
Index
index present
Literary form
non fiction
http://library.link/vocab/relatedWorkOrContributorName
Howard, Steven R.
Series statement
West nutshell series
http://library.link/vocab/subjectName
  • Investment advisors
  • Brokers
  • Securities
Label
Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard
Instantiates
Publication
Copyright
Note
Includes index
Carrier category
volume
Carrier category code
  • nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
  • txt
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
19 cm.
Extent
lv, 558 pages
Isbn
9780314172655
Isbn Type
(pbk. : alk. paper)
Lccn
2008274238
Media category
unmediated
Media MARC source
rdamedia
Media type code
  • n
Other physical details
illustrations
System control number
(OCoLC)190845684
Label
Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard
Publication
Copyright
Note
Includes index
Carrier category
volume
Carrier category code
  • nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
  • txt
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
19 cm.
Extent
lv, 558 pages
Isbn
9780314172655
Isbn Type
(pbk. : alk. paper)
Lccn
2008274238
Media category
unmediated
Media MARC source
rdamedia
Media type code
  • n
Other physical details
illustrations
System control number
(OCoLC)190845684

Library Locations

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