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Online Results (24)
1.
Vergütungssysteme und Interessenkonflikte in der Anlageberatung : eine Studie zum europäischen, deutschen und englischen Recht
Author
Schelling, Holger
Published
Berlin : Duncker & Humblot, [2013]
Location
Law Library >> KJC224 .S34 2013
Format
Books
2.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : Securities and Exchange Commission, [1994]
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
3.
Investment advisers act amendments of 1976 hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, on S. 2849 ... February 3 and 4, 1976
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Published
Washington : U.S. Govt. Print. Off., 1976.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
4.
Investment advisers act amendments of 1976 : hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, on S. 2849 ... February 3 and 4, 1976
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
Published
Washington : U.S. Govt. Print. Off., 1976.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
5.
Investment advisers act of 1940 and general rules and regulations thereunder as in effect April 1, 1971
Author
United States
Published
Washington, U.S. Securities and Exchange Commission; for sale by the Supt. of Docs., U.S. Govt. Print. Off., 1971.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
6.
H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012
Author
United States. Congress. House. Committee on Financial Services
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
7.
Investment Advisers Act of 1940 and general rules and regulations thereunder
Author
United States
Published
Washington : United States, Securities and Exchange Commission; for sale by the Supt. of Docs., U.S. Govt. Print. Off.
Online
1965
1967
1969
1971
no.104-181(1960-1964)
v.182-254(1965-1969)
v.255-357(1970-1973)
Location
HathiTrust Digital Library >> Online Resource
Format
Journals & Newspapers / Online
8.
Internationales Insiderrecht : eine Untersuchung über die Anwendung des Insiderrechts auf Sachverhalte mit Auslandsberührung
Author
Nietsch, Michael
Published
Berlin : Duncker & Humblot, 2004.
Location
Law Library >> K1115.I57 N53 2004
Format
Books
9.
Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1993.
Online
Online book
4.EN 2/3:103-16
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
10.
Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1992.
Online
4.En 2/3:102-128
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
11.
Wertpapiervermögensverwaltung
Author
Benicke, Christoph
Published
Tübingen : Mohr Siebeck, 2006.
Location
Law Library >> KK7038 .B46 2006
Format
Books
12.
Investment advisers act amendments hearings before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, second session , on H.R. 12981 and H.R. 13737 ... May 20 and 21, 1976
Author
United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance
Published
Washington : U. S. Govt. Print. Off., 1976.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
13.
Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, June 11, 1986
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O., 1986.
Online
Online book
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
14.
Die Auskunftspflichten der Bank gegenüber Vermögensverwaltungskunden
Author
Dommer, Nicolas
Published
Zürich : Dike, [2018]
Location
Law Library >> KKW940 .D66 2018
Format
Books
15.
Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2012.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
16.
Teilnehmerhaftung bei fehlerhafter Kapitalmarktinformation in Deutschland und den USA : zugleich ein Beitrag zur Systematik des [Paragraphen] 830 Abs. 1 S. 1, Abs. 2 BGB
Author
Stübinger, Malte, 1986-
Published
Tübingen : Mohr Siebeck, [2015]
Location
Law Library >> K1114.5 .S78 2015
Format
Books
17.
Das Recht der Kapitalanlageberatung und -vermittllung
Author
Seibert, Holger, 1955-
Published
München : C.H. Beck, 2014.
©2014.
Location
Law Library >> KK2245 .S453X 2014
Format
Books
18.
Anlagevermittlung und Anlegerschutz
Author
Ismail, Husein
Published
Göttingen : V&R Unipress, [2018]
Location
Law Library >> KK2248.5 I86 2018
Format
Books
19.
Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
20.
Annual registration updating material for investment advisers
Published
Washington, D.C. : U.S. Securities and Exchange Commission,
Online
2000
2000
Location
HathiTrust Digital Library >> Online Resource
Format
Journals & Newspapers / Online
21.
Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994
Author
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1994.
Online
Online book
4.EN 2/3:103-106
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
22.
Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
23.
The Securities Investment Promotion Act of 1996--S. 1815 : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourth Congress, second session, on S. 1815 ... June 5, 1996
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the U.S. G.P.O., Supt. of Docs., Congressional Sales Office, 1996.
Online
Online book
4.B 22/3:S.HRG.104-681
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
24.
H.R. 2269, the Retirement Security Advice Act : hearing before the Subcommittee on Employer-Employee Relations of the Committee on Education and the Workforce, House of Representatives, One Hundred Seventh Congress, first session, hearing held in Washington, DC, July 17, 2001
Author
United States. Congress. House. Committee on Education and the Workforce. Subcommittee on Employer-Employee Relations
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O. [Congressional Sales Office], 2002.
Online
4.ED 8/1:107-22
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
25.
Providing for consideration of H.R. 2269, Retirement Security Advice Act of 2001 : report (to accompany H. Res. 288)
Author
United States. Congress. House. Committee on Rules
Published
[Washington, D.C. : U.S. G.P.O., 2001]
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online