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
Resource Information
The item Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard represents a specific, individual, material embodiment of a distinct intellectual or artistic creation found in Biddle Law Library - University of Pennsylvania Law School.This item is available to borrow from 1 library branch.
Resource Information
The item Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard represents a specific, individual, material embodiment of a distinct intellectual or artistic creation found in Biddle Law Library - University of Pennsylvania Law School.
This item is available to borrow from 1 library branch.
- Language
- eng
- Extent
- lv, 558 pages
- Note
- Includes index
- 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
- Isbn
- 9780314172655
- 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
- Language
- eng
- 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
- 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
- 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
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<div class="citation" vocab="http://schema.org/"><i class="fa fa-external-link-square fa-fw"></i> Data from <span resource="http://link.law.upenn.edu/portal/Investment-adviser-regulation-in-a-nutshell-by/WhaoJOILNow/" typeof="Book http://bibfra.me/vocab/lite/Item"><span property="name http://bibfra.me/vocab/lite/label"><a href="http://link.law.upenn.edu/portal/Investment-adviser-regulation-in-a-nutshell-by/WhaoJOILNow/">Investment adviser regulation in a nutshell, by Jeffrey J. Haas, Steven R. Howard</a></span> - <span property="potentialAction" typeOf="OrganizeAction"><span property="agent" typeof="LibrarySystem http://library.link/vocab/LibrarySystem" resource="http://link.law.upenn.edu/"><span property="name http://bibfra.me/vocab/lite/label"><a property="url" href="http://link.law.upenn.edu/">Biddle Law Library - University of Pennsylvania Law School</a></span></span></span></span></div>
