Small Account Investment Management Services Recommendations For Clearer Policies And Guidelines
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Small Account Investment Management Services Recommendations For Clearer Policies And Guidelines
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Author : United States. Advisory Committee on Investment Management Services for Individual Investors
language : en
Publisher:
Release Date : 1973
Small Account Investment Management Services Recommendations For Clearer Policies And Guidelines written by United States. Advisory Committee on Investment Management Services for Individual Investors and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with Investment advisors categories.
Fixed Rates And Institutional Membership
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
language : en
Publisher:
Release Date : 1973
Fixed Rates And Institutional Membership written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with Government publications categories.
Fixed Rates And Institutional Membership Hearings Before The Subcommittee On Securities Of 93 1 On S 470 S 488 February 20 21 22 And March 15 1973
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Author : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
language : en
Publisher:
Release Date : 1973
Fixed Rates And Institutional Membership Hearings Before The Subcommittee On Securities Of 93 1 On S 470 S 488 February 20 21 22 And March 15 1973 written by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with categories.
Guide To Broker Dealer Compliance
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Author : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee
language : en
Publisher:
Release Date : 1974
Guide To Broker Dealer Compliance written by United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1974 with Securities categories.
Hearings Reports And Prints Of The Senate Committee On Government Operations
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Author : United States. Congress. Senate. Committee on Government Operations
language : en
Publisher:
Release Date : 1973
Hearings Reports And Prints Of The Senate Committee On Government Operations written by United States. Congress. Senate. Committee on Government Operations and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with Executive departments categories.
Federal Advisory Committees
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Author :
language : en
Publisher:
Release Date : 1973
Federal Advisory Committees written by and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with Executive advisory bodies categories.
Federal Advisory Committees
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Author : United States. President
language : en
Publisher:
Release Date : 1973
Federal Advisory Committees written by United States. President and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with Executive advisory bodies categories.
Federal Advisory Committees First Annual Report Of The President To The Congress Including Data On Individual Committees March 1973 May 2 1973
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Author : United States. Congress. Senate. Governmental Operations
language : en
Publisher:
Release Date : 1973
Federal Advisory Committees First Annual Report Of The President To The Congress Including Data On Individual Committees March 1973 May 2 1973 written by United States. Congress. Senate. Governmental Operations and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with categories.
Federal Advisory Committees
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Author : United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures
language : en
Publisher:
Release Date : 1973
Federal Advisory Committees written by United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures and has been published by this book supported file pdf, txt, epub, kindle and other format this book has been release on 1973 with Executive advisory bodies categories.
Regulation Of Money Managers
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Author : Tamar Frankel
language : en
Publisher: Wolters Kluwer
Release Date : 2015-09-16
Regulation Of Money Managers written by Tamar Frankel and has been published by Wolters Kluwer this book supported file pdf, txt, epub, kindle and other format this book has been release on 2015-09-16 with Law categories.
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.