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Subject: "Investment advisors"
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101.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Location
Law Library >> KF1070 .I58X 2008
Format
Books
102.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Location
SML, Stacks, LC Classification >> KF1070 .I58X 2008 (LC) Oversize
Format
Books
103.
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
104.
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
105.
Investing in the future minority opportunities and the thrift savings plan : hearing before the Subcommittee on Federal Workforce, Postal Service, and the District of Columbia of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Tenth Congress, second session, July 10, 2008
Author
United States. Congress. House. Committee on Oversight and Government Reform. Subcommittee on Federal Workforce, Postal Service, and the District of Columbia
Published
Washington : U.S. G.P.O., 2009.
Online
http://purl.access.gpo.gov/GPO/LPS111910
Location
Yale Internet Resource >> None
Format
Books / Online
106.
Investing in the future : minority opportunities and the thrift savings plan : hearing before the Subcommittee on Federal Workforce, Postal Service, and the District of Columbia of the Committee on Oversight and Government Reform, House of Representatives, One Hundred Tenth Congress, second session, July 10, 2008
Author
United States. Congress. House. Committee on Oversight and Government Reform. Subcommittee on Federal Workforce, Postal Service, and the District of Columbia
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.G 74/7:110-133
Format
Books
107.
The law of financial advice, investment management, and trading
Author
Setten, L. D. van (Lodewijk D.), 1967-
Published
Oxford, United Kingdom ; New York, NY : Oxford University Press, 2019.
©2019.
Location
Law Library >> KJE2188 .S47 2019
Format
Books
108.
Investor and industry perspectives on investment advisers and broker-dealers
Published
Santa Monica, CA : Rand, c2008.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
109.
Canadian securities regulatory requirements applicable to non-resident broker-dealers, advisers and investment fund managers
Published
Toronto, Ontario : CCH Canadian Limited, [2012]
©2012.
Location
Law Library >> KE1062 .A33 2012
Format
Books
110.
Villanova journal of law and investment management
Published
Villanova, PA : Global Financial Press, ©1999-[2002?]
Location
Library Shelving Facility (LSF) >> K26 .I5598
Format
Journals & Newspapers
111.
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
112.
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
113.
Advising private funds : a comprehensive guide to representing hedge funds, private equity funds & their advisers
Online
Access limited to Law School community, contact reference.law@yale.edu; Cover...
Location
Yale Internet Resource
Format
Online
114.
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., 2011.
Online
http://purl.fdlp.gov/GPO/gpo6151
Location
Yale Internet Resource >> None
Format
Books / Online
115.
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.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:111-158
Format
Books
116.
The alternative investment fund managers directive
Published
Alphen aan den Rijn : Kluwer Law International, [2015]
Frederick, MD : Sold and distributed in North, Central, and South America by Aspen Publishers.
©2015.
Location
Law Library >> KJE2250 .A95X 2015
Format
Books
117.
Principles for ensuring retirement advice serves the best interests of working families and retirees : hearing before the Subcommittee on Health, Employment, Labor and Pensions, Committee on Education and the Workforce, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, hearing held in Washington, DC, December 2, 2015
Author
United States. Congress. House. Committee on Education and the Workforce. Subcommittee on Health, Employment, Labor, and Pensions, 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.ED 8/1:114-35
Format
Books
118.
Assessing the Madoff Ponzi scheme and regulatory failures : 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, February 4, 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., 2009.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:111-2
Format
Books
119.
Assessing the Madoff Ponzi scheme and regulatory failures 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, February 4, 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., 2009.
Online
http://purl.access.gpo.gov/GPO/LPS115676
Location
Yale Internet Resource >> None
Format
Books / Online
120.
A practitioner's guide to MiFID
Published
Old Woking, Surrey, U.K. : City & Financial Pub., c2007.
Location
Law Library >> KJE2245 .P73X 2007
Format
Books
121.
Fintech and regtech in the financial services industry : current issues for investment advisers and broker-dealers 2023
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
122.
The new fiduciary standard : the 27 prudent investment practices for financial advisers, trustees, and plan sponsors
Author
Hatton, Tim, 1963-
Published
Princeton, NJ : Bloomberg Press, 2005.
Online
Publisher description
Location
Law Library >> KF1072 .H38 2005
Format
Books
123.
A practitioner's guide to MiFID II
Published
London : Sweet & Maxwell/Thomas Reuters, 2018.
©2018.
Location
Law Library >> KJE2245 .P73 2018
Format
Books
124.
Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013
Author
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises, author
Published
Washington : U.S. Government Printing Office, 2013.
Online
http://purl.fdlp.gov/GPO/gpo40663
Location
Yale Internet Resource >> None
Format
Books / Online
125.
Restricting access to financial advice : evaluating the costs and consequences for working families and retirees : hearing before the Subcommittee on Health, Employment, Labor and Pensions, Committee on Education and the Workforce, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, hearing held in Washington, DC, June 17, 2015
Author
United States. Congress. House. Committee on Education and the Workforce. Subcommittee on Health, Employment, Labor, and Pensions, 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.ED 8/1:114-21
Format
Books