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Subject: "Investment advisors"
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1.
Small account investment management services: recommendations for clearer policies and guidelines; report
Author
United States. Advisory Committee on Investment Management Services for Individual Investors
Published
Washington [1973]
Location
Library Shelving Facility (LSF) >> SE 1.2:M 31
Format
Books
2.
Investment adviser directory
Published
[Washington] Securities and Exchange Commission.
Location
LSF-Use in SML, Manuscripts and Archives only (Non-Circ) >> HG4907 I45 (LC)
Library Shelving Facility (LSF) >> SE 1.2:In 8/17/
Format
Journals & Newspapers
3.
Annual registration updating material for investment advisers
Published
Washington, D.C. : U.S. Securities and Exchange Commission, [2000]
Location
Library Shelving Facility (LSF) >> SE 1.2:R 26/2000
Format
Books
4.
Annual registration updating material for investment advisers
Published
Washington, D.C. : U.S. Securities and Exchange Commission, [1990]
Location
Library Shelving Facility (LSF) >> SE 1.2:R 26
Format
Books
5.
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
6.
Investment advisers act of 1940 as in effect June 4, 1975
Author
United States. Laws, Statutes, etc
Published
Washington : Securities and Exchange Commission : for sale by the Supt. of Docs., U.S. Govt. Print. Off., 1977.
Location
Library Shelving Facility (LSF) >> SE 1.5:In 8/2/975
Format
Books
7.
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.
Location
Library Shelving Facility (LSF) >> Y 4.B 22/3:In 8/16
Format
Books
8.
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
9.
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
10.
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
11.
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.
Location
Library Shelving Facility (LSF) >> Y 4.EN 2/3:103-16
Format
Books
12.
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.
Location
Library Shelving Facility (LSF) >> Y 4.En 2/3:99-133
Format
Books
13.
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.
Location
Library Shelving Facility (LSF) >> Y 4.In 8/4:94-134
Format
Books
14.
Mutual funds : trading practices and abuses that harm investors : hearing before the Financial Management, the Budget, and International Security Subcommittee of the Committee on Governmental Affairs, United States Senate, One Hundred Eighth Congress, first session, November 3, 2003
Author
United States. Congress. Senate. Committee on Governmental Affairs. Subcommittee on Financial Management, the Budget, and International Security
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2004.
Online
http://purl.access.gpo.gov/GPO/LPS49523
Location
Library Shelving Facility (LSF) >> Y 4.G 74/9:S.HRG.108-368
Format
Books
15.
Fair and equitable tax policy for America's working families : hearing before the Committee on Ways and Means, U.S. House of Representatives, One Hundred Tenth Congress, first session, September 6, 2007
Author
United States. Congress. House. Committee on Ways and Means
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2008.
Location
Library Shelving Facility (LSF) >> Y 4.W 36:110-58
Format
Books
16.
How secure is your retirement : investments, planning, and fraud? : hearing before the Special Committee on Aging, United States Senate, One Hundred Third Congress, first session, Washington, DC, May 25, 1993
Author
United States. Congress. Senate. Special Committee on Aging
Published
Washington : U.S. G.P.O. : [U.S. G.P.O., Supt. of Docs., Congressional Sales Office, distributor], 1993.
Location
Library Shelving Facility (LSF) >> Y 4.AG 4:S.HRG.103-202
Format
Books
17.
Retirement security : the importance of an independent investment adviser : hearing before the Subcommittee on Health, Employment, Labor, and Pensions, Committee on Education and Labor, U.S. House of Representatives, One Hundred Eleventh Congress, first session, hearing held in Washington, DC, March 24, 2009
Author
United States. Congress. House. Committee on Education and Labor (2007). Subcommittee on Health, Employment, Labor, and Pensions
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.ED 8/1:111-10
Format
Books
18.
Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds
Author
United States. Securities and Exchange Commission. Office of Compliance Inspections and Examinations
Published
[Washington, D.C.?] : The Office of Compliance Inspections and Examinations, U.S. Securities & Exchange Commission, [1998]
Location
Library Shelving Facility (LSF) >> SE 1.2:B 78/[998]
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.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:111-94
Format
Books
20.
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.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:112-58
Format
Books
21.
Meeting on assessing the Madoff Ponzi scheme and the need for regulatory reform : Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, January 5, 2009
Author
United States. Congress. House. Committee on Financial Services
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011.
Location
Library Shelving Facility (LSF) >> Y 4.F 49/20:111-B
Format
Books
22.
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.
Location
Library Shelving Facility (LSF) >> Y 4.En 2/3:102-128
Format
Books
23.
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.
Location
Library Shelving Facility (LSF) >> Y 4.EN 2/3:103-106
Format
Books
24.
Defined benefit pension plan funding levels and investment advice rules : hearing before the Committee on Ways and Means, U.S. House of Representatives, One Hundred Eleventh Congress, first session, October 1, 2009
Author
United States. Congress. House. Committee on Ways and Means
Published
Washington : U.S. G.P.O. : For sale by the Supt. of Docs., U.S. G.P.O., 2011.
Location
Library Shelving Facility (LSF) >> Y 4.W 36:111-31
Format
Books
25.
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