Coverart for item
The Resource Money managers, mutual funds, and their service providers : dealing with regulatory developments, co-chairs, Anne C. Flannery, Lee A. Pickard

Money managers, mutual funds, and their service providers : dealing with regulatory developments, co-chairs, Anne C. Flannery, Lee A. Pickard

Label
Money managers, mutual funds, and their service providers : dealing with regulatory developments
Title
Money managers, mutual funds, and their service providers
Title remainder
dealing with regulatory developments
Statement of responsibility
co-chairs, Anne C. Flannery, Lee A. Pickard
Title variation
Thirty-five types of claims brought by the SEC and private plaintiffs against investment advisers and portfolio managers
Contributor
Subject
Language
eng
Member of
Cataloging source
DLC
Index
no index present
Literary form
non fiction
Nature of contents
bibliography
http://library.link/vocab/relatedWorkOrContributorName
  • Flannery, Anne C
  • Pickard, Lee A
  • Practising Law Institute
Series statement
Corporate law and practice course handbook series
Series volume
no. B-885
http://library.link/vocab/subjectName
  • Investment advisors
  • Brokers
  • Securities
  • Mutual funds
Label
Money managers, mutual funds, and their service providers : dealing with regulatory developments, co-chairs, Anne C. Flannery, Lee A. Pickard
Instantiates
Publication
Copyright
Note
"PLI order number B4-7105."
Accompanying material
addendum (224 pages).
Bibliography note
Includes bibliographical references
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Current issues with respect to payment for order flow / Lee A. Pickard -- Money managers mutual funds and their service providers - dealing with regulatory developments / Brandon Decker -- Payment for order flow : soft dollar practices of brokers, investment managers and hedge funds : recent legal developments / Roger D. Blanc -- Limit orders and order routing / Sam Scott Miller, Elizabeth P. Hensley, Thomas N. McManus -- Current review of soft dollar and directed business arrangements / Lee A. Pickard -- Dealing with governmental entities / Francis R. Snodgrass -- "Prospecting for cases" : personal trading by portfolio managers, redux / Harvey L. Pitt, Dixie L. Johnson -- Lessons of the Strong/Corneliuson case / Harvey L. Pitt, Dixie L. Johnson -- Where personal trading by portfolio managers is involved, abstinence makes the heart grow fonder / Harvey L. Pitt, Thomas S. Harman, Dixie L. Johnson, Cynthia M. Fornelli -- Personal trading by advisory affiliates / Marianne K. Smythe -- Enforcement action / Barry P. Barbash -- Recent S.E.C. enforcement cases / Colleen P. Mahoney, Philip J. Berkowitz -- Recent proceedings by the S.E.C. involving fund managers and related conflicts of interest / Mayer Eisenberg
Dimensions
23 cm +
Extent
496 pages
Isbn
9780872241763
Lccn
95161525
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
System control number
97-B1044
Label
Money managers, mutual funds, and their service providers : dealing with regulatory developments, co-chairs, Anne C. Flannery, Lee A. Pickard
Publication
Copyright
Note
"PLI order number B4-7105."
Accompanying material
addendum (224 pages).
Bibliography note
Includes bibliographical references
Carrier category
volume
Carrier category code
nc
Carrier MARC source
rdacarrier
Content category
text
Content type code
txt
Content type MARC source
rdacontent
Contents
Current issues with respect to payment for order flow / Lee A. Pickard -- Money managers mutual funds and their service providers - dealing with regulatory developments / Brandon Decker -- Payment for order flow : soft dollar practices of brokers, investment managers and hedge funds : recent legal developments / Roger D. Blanc -- Limit orders and order routing / Sam Scott Miller, Elizabeth P. Hensley, Thomas N. McManus -- Current review of soft dollar and directed business arrangements / Lee A. Pickard -- Dealing with governmental entities / Francis R. Snodgrass -- "Prospecting for cases" : personal trading by portfolio managers, redux / Harvey L. Pitt, Dixie L. Johnson -- Lessons of the Strong/Corneliuson case / Harvey L. Pitt, Dixie L. Johnson -- Where personal trading by portfolio managers is involved, abstinence makes the heart grow fonder / Harvey L. Pitt, Thomas S. Harman, Dixie L. Johnson, Cynthia M. Fornelli -- Personal trading by advisory affiliates / Marianne K. Smythe -- Enforcement action / Barry P. Barbash -- Recent S.E.C. enforcement cases / Colleen P. Mahoney, Philip J. Berkowitz -- Recent proceedings by the S.E.C. involving fund managers and related conflicts of interest / Mayer Eisenberg
Dimensions
23 cm +
Extent
496 pages
Isbn
9780872241763
Lccn
95161525
Media category
unmediated
Media MARC source
rdamedia
Media type code
n
System control number
97-B1044

Library Locations

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