Investment advisors -- Legal status, laws, etc. -- United States
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Investment advisors -- Legal status, laws, etc. -- United States
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The concept Investment advisors -- Legal status, laws, etc. -- United States represents the subject, aboutness, idea or notion of resources found in Biddle Law Library- University of Pennsylvania Law School.
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86 Items that share the Concept Investment advisors -- Legal status, laws, etc. -- United States
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- 12th annual National Institute on Securities Fraud
- Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009
- Advising private funds : a comprehensive guide to representing hedge funds, private equity funds & their advisers
- Advising private funds index
- Amending the Securities Exchange Act of 1934 to permit members of national securities exchanges to effect certain transactions with respect to accounts for which such members exercise investment discretion : report (to accompany H.R. 616) (including cost estimate of the Congressional Budget Office)
- Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
- Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
- Broker-dealer & investment adviser
- Corporate Governance Reform and Transparency Act of 2016 : report together with minority views (to accompany H.R. 5311) (including cost estimate of the Congressional Budget Office)
- Corporate Governance Reform and Transparency Act of 2017 : report together with minority views (to accompany H.R. 4015) (including cost estimate of the Congressional Budget Office)
- Counseling the investment adviser, 1977
- Counselling the investment adviser
- Department of Labor's proposed fiduciary rule : hearing before the Subcommittee on Oversight of the Committee on Ways and Means, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, September 30, 2015
- Description of chairman's amendment in the nature of a substitute to H.R. 2269, the "Retirement Security Advice Act of 2001" : scheduled for a markup by the House Committee on Ways and Means on November 7, 2001
- Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
- Ethical issues for investment management lawyers
- Family Office Technical Correction Act of 2017 : report (to accompany H.R. 3972) (including cost estimate of the Congressional Budget Office)
- Fund governance : legal duties of investment companies directors
- Fund governance : legal duties of investment company directors
- H.R. 2269, the Retirement Security Advice Act : hearing before the Subcommittee on Employer-Employee Relations of the Committee on Education and the Workforce, House of Representatives, One Hundred Seventh Congress, first session, hearing held in Washington, DC, July 17, 2001
- H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012
- Investment Adviser Oversight Act of 1993 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 423
- Investment Adviser Regulatory Enhancement and Disclosure Act of 1993 : report (to accompany H.R. 578) (including cost estimate of the Congressional Budget Office)
- Investment Advisers Modernization Act of 2016 : report together with minority views (to accompany H.R. 5424) (including cost estimate of the Congressional Budget Office)
- Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993
- Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992
- Investment adviser regulation
- Investment adviser regulation : a step-by-step guide to compliance and the law
- Investment adviser regulation in a nutshell
- Investment advisers act amendments : hearings before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, second session , on H.R. 12981 and H.R. 13737 ... May 20 and 21, 1976
- Investment advisers act amendments : hearings before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, second session, on H.R. 12981 and H.R. 13737 ... May 20 and 21, 1976
- Investment advisers act amendments of 1976 : hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, on S. 2849 ... February 3 and 4, 1976
- Investment advisers act amendments of 1976 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2849 together with minority and additional views, May 20, 1976
- Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, June 11, 1986
- Investment management law and regulation
- Investment management regulation
- Investment management regulation : an introduction to principles and practice
- Investor Clarity and Bank Parity Act : report (to accompany H.R. 3093) (including cost estimate of the Congressional Budget Office)
- Investor Clarity and Bank Parity Act : report (to accompany H.R. 4096) (including cost estimate of the Congressional Budget Office)
- Investor and industry perspectives on investment advisers and broker-dealers
- Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013
- Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991
- Money managers, mutual funds, and their service providers : dealing with regulatory developments
- Mutual fund & investment adviser compliance programs
- Mutual fund litigation and insurance practice guide
- Mutual fund portfolio executions through a regional exchange affiliated broker
- Mutual funds & investment advisers in crisis : the SEC response
- National Securities Markets Improvement Act of 1996 : 110 Stat. 3416, P.L. 104-290
- Pension Security Act of 2002 : report together with minority views (to accompany H.R. 3762) (including cost estimate of the Congressional Budget Office)
- Pension Security Act of 2003 : report together with minority views (to accompany H.R. 1000) (including cost estimate of the Congressional Budget Office)
- Providing for consideration of H.R. 1000, Pension Security Act of 2003 : report (to accompany H. Res. 230)
- Providing for consideration of H.R. 2269, Retirement Security Advice Act of 2001 : report (to accompany H. Res. 288)
- Regulation of financial planners
- Regulation of financial planners
- Regulation of financial planners in the 1980's
- Regulation of financial planners in the 1980s, 1986
- Regulation of investment advisers
- Regulation of investment advisers under the Investment Advisers Act
- Regulation of investment management & fiduciary services
- Regulation of investment management and fiduciary services
- Regulation of investment management and fiduciary services
- Restatement of the law - trusts
- Restatement, third, trusts: prudent investor rule
- Restricting advice and education : DOL's unworkable investment proposal for American families and retirees : hearing before the Subcommittee on Employment and Workplace Safety of the Committee on Health, Education, Labor, and Pensions, United States Senate, One Hundred Fourteenth Congress, first session ... July 21, 2015
- Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)
- Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)
- Retirement Security Advice Act of 2001 : report together with minority views (to accompany H.R. 2269) (including cost estimate of the Congressional Budget Office)
- SBIC Advisers Relief Act of 2014 : report (to accompany H.R. 4200) (including cost estimate of the Congressional Budget Office)
- SBIC Advisers Relief Act of 2015 : report (to accompany H.R. 432) (including cost estimate of the Congressional Budget Office)
- SEC/NASD compliance : designing and implementing an effective compliance program for mutual funds, investment advisers, and broker-dealers
- Small Business Capital Access and Job Preservation Act : report together with minority views (to accompany H.R. 1082) (including cost estimate of the Congressional Budget Office)
- Small Business Capital Access and Job Preservation Act : report together with minority views (to accompany H.R. 1105) (including cost estimate of the Congressional Budget Office)
- Soft dollars and other brokerage arrangements
- Soft dollars and other trading activities
- Strengthening Access to Valuable Education and Retirement Support Act of 2015 : report together with dissenting views (to accompany H.R. 4294) (including cost estimate of the Congressional Budget Office)
- Technical explanation of the revenue provisions of H.R. 3762, the "Pension Security Act of 2002"
- The Dodd-Frank Wall Street Reform and Consumer Protection Act : game changer?
- The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266
- The Securities Investment Promotion Act of 1996 --S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996
- The Securities Investment Promotion Act of 1996 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 1815
- The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, March 7, 2012
- The law of investment management
- The law of investment management : 1979 supplement
- The regulation of money managers : mutual funds and advisors
- The regulation of money managers : the Investment company act and the Investment advisers act
- United States Securities and Exchange Commission releases, Investment Advisers Act of 1940
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