Regulation of investment advisers.
2010
WESTLAW
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Items
Details
Uniform Title
WESTLAW (Information retrieval system)
Title
Regulation of investment advisers.
Added Author
Imprint
[St. Paul, Minn.] : Thomson Reuters, 2010-
Frequency
Updated annually
Summary
Covers the registration and regulation of investment advisers under the Investment Advisers Act of 1940 and related legislation, including compliance with Securities and Exchange Commission reporting requirements, Treasury Department regulations, and Labor Department regulations; state and federal investment restrictions; conflict of interest issues; and advertising restrictions.
Note
Database includes most recent edition only.
Authors: Thomas P. Lemke and Gerald T. Lins.
Authors: Thomas P. Lemke and Gerald T. Lins.
Bibliography, etc. Note
Includes bibliographical references and index.
Source of Description
Description based on electronic file, viewed June 2, 2013.
Location
www
Available in Other Form
Print version: Regulation of investment advisers
Linked Resources
Alternate Title
West Practice Ready Premier Treatise
Call Number
WESTLAW
Language
English
Record Appears in