Download or read book The Investment Company Act of 1940 and the Investment Advisers Act of 1940 Other Investment Management Regulations written by and published by . This book was released on 1995 with total page 408 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book General Rules and Regulations Under the Investment Company Act of 1940 written by United States. Securities and Exchange Commission and published by . This book was released on 1941 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Company Act of 1940 as Amended August 10 1954 Public No 768 76th Congress H R 10065 written by United States and published by . This book was released on 1959 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Advisers Act of 1940 and General Rules and Regulations Thereunder written by United States and published by . This book was released on 1960 with total page 200 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book General Rules and Regulations Under the Investment Act of 1940 written by United States. Securities and Exchange Commission and published by . This book was released on 1972 with total page 94 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Company Act of 1940 as Amended written by United States and published by . This book was released on 1977 with total page 112 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book General Rules and Regulations Under the Investment Company Act of 1940 as in Effect November 1 1968 written by United States. Securities and Exchange Commission and published by . This book was released on 1968 with total page 76 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Adviser s Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Download or read book General Rules and Regulations Under the Investment Company Act of 1940 as in Effect May 10 1972 written by United States. Securities and Exchange Commission and published by . This book was released on 1972 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Company Act of 1940 and Relevant Rules written by United States and published by . This book was released on 1993 with total page 412 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book The Investment Company Act of 1940 written by and published by . This book was released on 1981 with total page 978 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Company Act of 1940 as Amended March 31 1961 Public No 768 76th Congress H R 10065 written by United States and published by . This book was released on 1961 with total page 52 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Company Act Release written by United States. Securities and Exchange Commission and published by . This book was released on 1967 with total page 974 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Investment Management Regulation written by Tamar Frankel and published by . This book was released on 2003 with total page 605 pages. Available in PDF, EPUB and Kindle. Book excerpt: A teaching book covering the Investment Company Act of 1940 and Investment Advisers Act of 1940.
Download or read book Investment Advisers Act of 1940 and General Rules and Regulations Thereunder written by and published by . This book was released on 1979 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Regulation of Investment Companies written by Thomas P. Lemke and published by . This book was released on 1997-03-06 with total page pages. Available in PDF, EPUB and Kindle. Book excerpt: The price quoted for the work covers one year's worth of service. The upkeep price for the work is $147.00 (updated with revisions).
Download or read book Investment Company Amendments Act of 1969 written by United States. Congress. Senate. Committee on Banking and Currency and published by . This book was released on 1969 with total page 444 pages. Available in PDF, EPUB and Kindle. Book excerpt: