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Investment adviser regulation in a nutshell
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.
ISBN
9781634599887
1634599888
9780314172655
0314172653
Physical Description
1 online resource (lv, 558 pages) : illustrations.
Notes
Includes index.
Variant and related titles
Investment adviser regulation.
Title on Westlaw introductory web page: Haas and Howard's investment adviser regulation in a nutshell.
Other formats
Print version: Haas, Jeffrey J. Investment adviser regulation in a nutshell. St. Paul, Minn. : Thomson/West, ©2008
Format
Books / Online
Language
English
Added to Catalog
August 03, 2020
Series
Contents
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.
Subjects
Genre/Form
Study guides.
Electronic books.
Study aids.
Study guides.
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