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Subject: "Investment advisors"
Author/Creator: Is
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United States
LC Class: Is
Is Is Not
K - Law

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Online Results (4)
1.
Report on the public policy implications of investment company growth : report of the Committee on Interstate and Foreign Commerce pursuant to Section 136 of the Legislative reorganization act of 1946, Public law 601, 79th Congress, and House resolution 35, 89th Congress
Author
United States. Securities and Exchange Commission
Published
Washington : G.P.O., 1966.
Location
Law Library >> KF1070 .U55 1966
Format
Books
2.
Investment advisers act of 1940 and general rules and regulations thereunder [as in effect June 1, 1965]
Author
United States
Published
Washington : Securities and Exchange Commission; for sale by the Superintendent of Documents, U.S. Govt. Print. Off, [1965]
Location
Library Shelving Facility (LSF) >> S 26 In73 1965
Format
Books
3.
Advising seniors about their money : who is qualified, and who is not : hearing before the Special Committee on Aging, United States Senate, One Hundred Tenth Congress, first session, Washington, DC, September 5, 2007
Author
United States. Congress. Senate. Special Committee on Aging
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2008.
Online
http://purl.access.gpo.gov/GPO/LPS92358
Location
Library Shelving Facility (LSF) >> Y 4.AG 4:S.HRG.110-301
Format
Books
4.
Investment Company Act of 1940 as in effect November 1, 1974
Author
United States
Published
Washington : U.S. Securities and Exchange Commission : For sale by the Supt. of Docs., U.S. Govt. Print. Off., 1975.
Location
Library Shelving Facility (LSF) >> SE 1.5:In 8/974
Format
Books
5.
Oversight of the Securities Investor Protection Corporation : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, first session, on examining the Securities Investor Protection Corporation's (SIPC) continuing oversight and protection of investors, the agency's response to recent claims and customer protection, and considering the need for any specific SIPC reforms to be made, September 30, 2015
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author
Published
Washington : U.S. Government Publishing Office, 2016.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Publishing Office
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.114-163
Format
Books
6.
Oversight of the Securities Investor Protection Corporation : hearing before the Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Fourteenth Congress, first session, on examining the Securities Investor Protection Corporation's (SIPC) continuing oversight and protection of investors, the agency's response to recent claims and customer protection, and considering the need for any specific SIPC reforms to be made, September 30, 2015
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment, author
Published
Washington : U.S. Government Publishing Office, 2016.
Online
https://purl.fdlp.gov/GPO/gpo76500
Location
Yale Internet Resource >> None
Format
Books / Online
7.
The watchdogs didn't bark : Enron and the Wall Street analysts : hearing before the Committee on Governmental Affairs, United States Senate, One Hundred Seventh Congress, second session, February 27, 2002
Author
United States. Congress. Senate. Committee on Governmental Affairs
Published
Washington : U.S. G.P.O. For sale by the Supt. of Docs., U.S. G.P.O., [Congressional Sales Office], 2002.
Online
Text version:
PDF version: Adobe Acrobat Reader required
Location
Library Shelving Facility (LSF) >> Y 4.G 74/9:S.HRG.107-385
Format
Books
8.
Restricting advice and education : DOL's unworkable investment proposal for American families and retirees : hearing before the Subcommittee on Employment and Workplace Safety of the Committee on Health, Education, Labor, and Pensions, United States Senate, One Hundred Fourteenth Congress, first session ... July 21, 2015
Author
United States. Congress. Senate. Committee on Health, Education, Labor, and Pensions. Subcommittee on Employment and Workplace Safety, author
Published
Washington : U.S. Government Publishing Office, 2017.
Online
PDF version:
Text version:
Location
Yale Internet Resource >> None
Format
Books / Online
9.
Restricting advice and education : DOL's unworkable investment proposal for American families and retirees : hearing before the Subcommittee on Employment and Workplace Safety of the Committee on Health, Education, Labor, and Pensions, United States Senate, One Hundred Fourteenth Congress, first session on examining the Department of Labor's investment proposal for American families and retirees, July 21, 2015
Author
United States. Congress. Senate. Committee on Health, Education, Labor, and Pensions. Subcommittee on Employment and Workplace Safety, author
Published
Washington : U.S. Government Publishing Office, 2017.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Publishing Office
Location
Library Shelving Facility (LSF) >> Y 4.L 11/4:S.HRG.114-665
Format
Books
10.
Oversight of the Securities and Exchange Commission's failure to identify the Bernard L. Madoff Ponzi scheme and how to improve SEC performance : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on analyzing the SEC's oversight and examination of the activities of Bernard L. Madoff and Bernard L. Madoff Investment Securities, LLC and why it failed to identify the Ponzi scheme, and to assess recommendations for how to improve the regulatory performance of the SEC, September 10, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2010.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.111-368
Format
Books
11.
Oversight of the Securities and Exchange Commission's failure to identify the Bernard L. Madoff Ponzi scheme and how to improve SEC performance hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session ... September 10, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O., 2010.
Online
http://purl.access.gpo.gov/GPO/LPS125604
Location
Yale Internet Resource >> None
Format
Books / Online
12.
The Madoff investment securities fraud : regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2009.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.111-38
Format
Books
13.
The Madoff investment securities fraud regulatory and oversight concerns and the need for reform : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eleventh Congress, first session, on how the securities regulatory system failed to detect the Madoff investment securities fraud, the extent to which securities insurance will assist defrauded victims, and the need for reform, January 27, 2009
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O., 2009.
Online
http://purl.access.gpo.gov/GPO/FDLP1545
Location
Yale Internet Resource >> None
Format
Books / Online
14.
The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2005.
Online
http://purl.access.gpo.gov/GPO/LPS68020
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:S.HRG.108-884
Format
Books