WK Cheetah. Securities - Federal & international.
Provides comprehensive and penetrating analysis available for legal counsel dealing with the regulation surrounding investment advisers and companies. It covers all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. The work also addresses insider trading, "financial advice" in the employer/employee relationship, the Jumpstart Our Business Startups Act, the Dodd-Frank Act, the Sarbanes-Oxley Act, the structure and organization of investment companies, the Gramm-Leach-Bliley Act of 1999, the U.S.A. Patriot Act, foreign investment companies offering their securities in the United States, governance issues, discount brokerage services, internet trading issues, conflicts of interest, money market funds, avoiding Federal Reserve Board jurisdiction, custody of clients' funds, and stock appreciation rights.
Authors: <2015- > by Ann Taylor Schwing and Tamar Frankel. Database includes most recent edition only.
Bibliography, etc. Note
Includes bibliographical references and index.
Digital File Characteristics
Source of Description
Description based on information screen, viewed May 21, 2015.