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Subject: "Investment advisors"
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Online Results (74)
1.
International survey of investment adviser regulation
Published
Alphen aan den Rijn : Kluwer Law International ; Cambridge, MA : Sold and distributed in North, Central and South America by Aspen Publishers, c2012.
Location
Law Library >> K1114.5 .I58 2012
Format
Books
2.
International survey of investment adviser regulation
Published
London ; Boston : Graham & Trotman, 1994.
Location
Law Library >> K1114.5 .I58 1994
Format
Books
3.
Prudent investment practices : a handbook for investment fiduciaries, persons who have the legal responsibliity for managing someone else's money ..
Published
Pittsburgh, PA : Center for Fiduciary Studies, c2004.
Location
Law Library >> KF1072 .P78 2004
Format
Books
4.
Fiduciary investment advice 2018
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
5.
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 author
Published
Washington : U.S. Government Printing Office, 2013.
Online
http://purl.fdlp.gov/GPO/gpo34865
Location
Yale Internet Resource >> None
Format
Books / Online
6.
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
7.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : Securities and Exchange Commission, [1994]
Location
Library Shelving Facility (LSF) >> SE 1.2:R 26/2/994
Format
Books
8.
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
9.
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
10.
Investment Advisers Act of 1940, release
Author
United States. Securities and Exchange Commission
Published
Washington : The Commission, [1940-]
Location
Law Library >> KF1436.A2 I5
Format
Journals & Newspapers
11.
Liability of asset managers
Published
Oxford : Oxford University Press, 2012.
Location
Law Library >> K1114.5 .L53X 2012
Format
Books
12.
Examining the market power and impact of proxy advisory firms : 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, June 5, 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.
Washington, DC : For sale by the Superintendent of Documents, U.S. Government Printing Office
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:113-27
Format
Books
13.
Investment adviser regulation : a step-by-step guide to compliance and the law
Published
New York, N.Y. : Practising Law Institute, 2011-
Online
Online Book
Location
Yale Internet Resource
Format
Online
14.
Perspectives on hedge fund registration : 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, May 7, 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 49/20:111-29
Format
Books
15.
Perspectives on hedge fund registration 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, May 7, 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/LPS116564
Location
Yale Internet Resource >> None
Format
Books / Online
16.
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
17.
Corporate versus contractual mutual funds : an evaluation of structure and governance
Author
Wang, Wen Yeu
Published
1994.
Location
Library Shelving Facility (LSF) >> K552.T45 W36 1994
Format
Books
18.
Annual securities activities of banks
Published
New York : Law & Business, Inc./Harcourt Brace Jovanovich.
Location
Law Library >> KF975 .A56
Format
Journals & Newspapers
19.
Regulation of investment advisers
Online
Access limited to Law School community, contact reference.law@yale.edu; Cover...
Location
Yale Internet Resource
Format
Online
20.
Fiduciary investment advice 2019
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
21.
Private fund regulatory developments and compliance challenges 2019
Published
New York, New York : Practising Law Institute, 2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
22.
Private fund regulatory developments and compliance challenges 2018
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
23.
Private fund regulatory developments and compliance challenges 2017
Published
New York, New York : Practising Law Institute, [2017]
©2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
24.
Mutual fund litigation and insurance practice guide
Online
Access limited to Law School community, contact reference.law@yale.edu
Location
Yale Internet Resource
Format
Online
25.
Investment management 2023 : current issues & trends
Published
New York, New York : Practising Law Institute, [2023]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online