Investment Advisers Act Of 1940 And General Rules And Regulations Thereunder
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Investment Advisers Act of 1940 and General Rules and Regulations Thereunder
Author | : United States |
Publsiher | : Unknown |
Total Pages | : 28 |
Release | : 1958 |
Genre | : Investment advisors |
ISBN | : CORNELL:31924088584168 |
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Investment Advisers Act of 1940 and General Rules and Regulations Thereunder
Author | : Anonim |
Publsiher | : Unknown |
Total Pages | : 48 |
Release | : 1979 |
Genre | : Investment advisors |
ISBN | : UOM:39015009280804 |
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General Rules and Regulations Under the Investment Company Act of 1940
Author | : United States. Securities and Exchange Commission |
Publsiher | : Unknown |
Total Pages | : 40 |
Release | : 1941 |
Genre | : Investments |
ISBN | : HARVARD:HL27OD |
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General Rules and Regulations Under the Investment Company Act of 1940 as in Effect November 1 1968
Author | : United States. Securities and Exchange Commission |
Publsiher | : Unknown |
Total Pages | : 76 |
Release | : 1968 |
Genre | : Investments |
ISBN | : UIUC:30112111574536 |
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General Rules and Regulations Under the Investment Company Act of 1940
![General Rules and Regulations Under the Investment Company Act of 1940](https://youbookinc.com/wp-content/uploads/2024/06/cover.jpg)
Author | : United States. Securities and Exchange Commission |
Publsiher | : Unknown |
Total Pages | : 135 |
Release | : 1944 |
Genre | : Investments |
ISBN | : LCCN:43003046 |
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Investment Adviser Regulation in a Nutshell
Author | : Jeffrey J. Haas,Steven R. Howard (J.D.) |
Publsiher | : West Academic Publishing |
Total Pages | : 0 |
Release | : 2008 |
Genre | : Brokers |
ISBN | : 0314172653 |
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Softbound - New, softbound print book.
Investment Advisers Act of 1940 and General Rules and Regulations Thereunder
Author | : United States |
Publsiher | : Unknown |
Total Pages | : 36 |
Release | : 1965 |
Genre | : Investment advisors |
ISBN | : HARVARD:HL4NBR |
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Regulation of Money Managers
Author | : Tamar Frankel,Arthur B. Laby,Ann Taylor Schwing |
Publsiher | : Wolters Kluwer |
Total Pages | : 4826 |
Release | : 2015-09-16 |
Genre | : Law |
ISBN | : 9781454870630 |
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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.