Investment Adviser Registration Package
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Investment Adviser Registration Package
Author | : United States. Securities and Exchange Commission |
Publsiher | : Unknown |
Total Pages | : 84 |
Release | : 1994 |
Genre | : Investment advisors |
ISBN | : UCSD:31822017264086 |
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Annual Registration Updating Material for Investment Advisers
Author | : Anonim |
Publsiher | : Unknown |
Total Pages | : 76 |
Release | : 1990 |
Genre | : Government publications |
ISBN | : UCR:31210024733188 |
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Annual Registration Updating Material for Investment Advisers
Author | : Anonim |
Publsiher | : Unknown |
Total Pages | : 158 |
Release | : 2000 |
Genre | : Disclosure of information |
ISBN | : UIUC:30112059883816 |
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Federal Register
Author | : Anonim |
Publsiher | : Unknown |
Total Pages | : 292 |
Release | : 2013-03 |
Genre | : Delegated legislation |
ISBN | : UCR:31210024841007 |
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Regulation of Investment Advisers
Author | : Thomas P. Lemke,Gerald T. Lins |
Publsiher | : Unknown |
Total Pages | : 918 |
Release | : 1996 |
Genre | : Investment advisors |
ISBN | : IND:30000080917887 |
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Study and Recommendations on Improved Investor Access to Registration Information about Investment Advisers and Broker Dealers
Author | : Elisse B. Walter |
Publsiher | : DIANE Publishing |
Total Pages | : 46 |
Release | : 2011-04 |
Genre | : Reference |
ISBN | : 9781437981025 |
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The Dodd-Frank Wall Street Reform and Consumer Protection Act required this study of ways to improve the access of investors to registration information about registered and previously registered investment advisers, associated persons of investment advisers, brokers and dealers and their associated persons, and to identify additional information that should be made publicly available. The Act specifies that the study include an analysis of the advantages and disadvantages of further centralizing access to registration information, and identify data pertinent to investors and the method and format for displaying and publishing the data to enhance the information's accessibility and utility to investors. This is a print on demand report.
Investment Adviser s Legal and Compliance Guide 3rd Edition
Author | : O'Malley, Walsh |
Publsiher | : Wolters Kluwer |
Total Pages | : 990 |
Release | : 2019-06-18 |
Genre | : Law |
ISBN | : 9781543812565 |
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Investment Adviser's Legal and Compliance Guide
Investment Advisers Act of 1940 and General Rules and Regulations Thereunder
Author | : United States |
Publsiher | : Unknown |
Total Pages | : 322 |
Release | : 1965 |
Genre | : Investment advisors |
ISBN | : UIUC:30112059613924 |
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