Investment adviser regulation in a nutshell / by Jeffrey J. Haas, Professor of Law, New York Law School ; Steven R. Howard, Adjunct Professor of Law, New York Law School.
2008
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Details
Author
Title
Investment adviser regulation in a nutshell / by Jeffrey J. Haas, Professor of Law, New York Law School ; Steven R. Howard, Adjunct Professor of Law, New York Law School.
Added Author
Variant Title
Title on Westlaw introductory web page: Haas and Howard's investment adviser regulation in a nutshell
Imprint
St. Paul, MN : Thomson/West, [2008]
Copyright
©2008
Description
1 online resource (lv, 558 pages) : illustrations.
Series
Nutshell series.
Formatted Contents Note
Introduction
Who is an investment adviser?
Federal and state authority over investment advisers
Hedge fund and collateralized debt obligation (CDO) advisers
Registration and form ADV
Advertising by investment advisers
The advisory relationship
Performance of duties
Wrap fee programs
Proprietary and insider trading
Recordkeeping requirements
Chief compliance officers (CCOs) and issues relating to them
Compliance, inspection and enforcement under the Advisers Act
Limited private right of action
Purchase and sale of investment advisers
Special issues relating to the advisory business.
Who is an investment adviser?
Federal and state authority over investment advisers
Hedge fund and collateralized debt obligation (CDO) advisers
Registration and form ADV
Advertising by investment advisers
The advisory relationship
Performance of duties
Wrap fee programs
Proprietary and insider trading
Recordkeeping requirements
Chief compliance officers (CCOs) and issues relating to them
Compliance, inspection and enforcement under the Advisers Act
Limited private right of action
Purchase and sale of investment advisers
Special issues relating to the advisory business.
Note
Includes index.
Source of Description
Online resource (West Academic, viewed October 5, 2017).
Location
www
Available in Other Form
Print version: Haas, Jeffrey J. Investment adviser regulation in a nutshell. St. Paul, Minn. : Thomson/West, ©2008
Linked Resources
Alternate Title
West Academic study aids.
Spine Title
Investment adviser regulation
Language
English
ISBN
9781634599887 (electronic book)
1634599888 (electronic book)
9780314172655 (paperback)
0314172653 (paperback)
1634599888 (electronic book)
9780314172655 (paperback)
0314172653 (paperback)
Record Appears in