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1.
On fund manager incentives
Author
Eichberger, Jürgen, 1952-
Published
Canberra, Australia : Faculty of Economics & Commerce, and Economics Program, Research School of Social Sciences, Australian National University, [1994]
Online
Online book
Location
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2.
Professional investment counsel
Author
Russell, Berg & Cummings
Published
Boston, [etc.] Russell, Berg & Cummings, 1932.
Online
Online book
Location
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Books / Online
3.
Statutory regulation of investment counselors
Author
Illinois. General Assembly. Legislative Council. Research Department
Published
Springfield, Ill. : The Council, [1939]
Online
Online book
Location
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Books / Online
4.
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]
Online
Online book
Location
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Books / Online
5.
Investment adviser directory
Published
Washington, D.C. : Securities and Exchange Commission.
Online
1978 Dec
yr.1983
Location
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Format
Journals & Newspapers / Online
6.
Annual registration updating material for investment advisers
Published
Washington, D.C. : U.S. Securities and Exchange Commission, [2000]
Online
Online book
Location
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Books / Online
7.
Salt of the earth
Author
Sidgwick, Alfred, Mrs., 1854-1934
Published
New York, Grosset & Dunlap, Publishers [1918?]
Online
Online book
Online book
Location
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8.
Report on emerging investment managers
Author
Illinois. State Board of Investment
Published
Chicago, Ill. : Illinois State Board of Investment,
Online
1999-2000
2001
2002
2003
Location
HathiTrust Digital Library >> Online Resource
Format
Journals & Newspapers / Online
9.
Investment advisers : current level of oversight puts investors at risk : report to Congressional requesters
Published
Washington, D.C. : The Office, [1990]
Online
Online book
Location
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Books / Online
10.
Annual registration updating material for investment advisers
Published
Washington, D.C. : U.S. Securities and Exchange Commission, [1990]
Online
Online book
Online book
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11.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : Securities and Exchange Commission, [1994]
Online
Online book
Location
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12.
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
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13.
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
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14.
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
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15.
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
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Books / Online
16.
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
Published
[Place of publication not identified] : [publisher not identified], [2014?]
Online
Online book
Location
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Books / Online
17.
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.
Online
Online book
Location
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Books / Online
18.
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
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Format
Journals & Newspapers / Online
19.
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
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Books / Online
20.
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
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Books / Online
21.
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
4.AG 4:S.HRG.110-301
Location
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22.
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
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Books / Online
23.
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
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Format
Books / Online
24.
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
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Books / Online
25.
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
Online book
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26.
Report to Governor and General Assembly on the use of emerging investment managers
Author
State Universities Retirement System of Illinois
Published
Champaign, Ill. : State Universities Retirement System of Illinois
Online
1998
2000-2001
2002
2003
2004
2005
2006
2007
2008
Location
HathiTrust Digital Library >> Online Resource
Format
Journals & Newspapers / Online
27.
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.
Online
4.W 36:110-58
Location
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Books / Online
28.
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.
Online
4.AG 4:S.HRG.103-202
Location
HathiTrust Digital Library >> Online Resource
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Books / Online
29.
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. 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.
Online
Online book
Online book
Location
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Books / Online
30.
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]
Online
Online book
Location
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Books / Online
31.
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.
Online
4.G 74/7:110-133
Location
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Books / Online
32.
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
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Books / Online
33.
SEC oversight of investment advisers : hearing before the Subcommittee on Securities of the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Second Congress, second session, on the unfair practice that exists with some financial planners and the need for Congress to support the SEC through additional funding and staffing for the regulation of the financial planning industry, February 20, 1992
Author
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities
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.B 22/3:S.hrg.102-731
Location
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Books / Online
34.
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
35.
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
Online
Online book
Location
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Format
Books / Online
36.
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
Online book
Location
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Books / Online
37.
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.
Online
4.F 49/20:111-2
Location
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38.
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
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Books / Online
39.
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
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40.
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.
Online
Online book
Location
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41.
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
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Books / Online
42.
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
Online
Online book
Location
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Books / Online
43.
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.
Online
4.B 22/3:S.HRG.111-38
Location
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Books / Online
44.
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.
Online
Online book
Location
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45.
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
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46.
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
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Books / Online
47.
Retirement Security Advice Act of 2001 : report together with minority views (to accompany H.R. 2269) (including cost estimate of the Congressional Budget Office)
Author
United States. Congress. House. Committee on Education and the Workforce
Published
[Washington, D.C. : U.S. G.P.O., 2001-
Online
PT.2
pt.1
pt.2
Location
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Books / Online
48.
Providing for consideration of H.R. 1000, Pension Security Act of 2003 : report (to accompany H. Res. 230)
Author
United States. Congress. House. Committee on Rules
Published
[Washington, D.C. : U.S. G.P.O., 2003]
Online
Online book
Location
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Books / Online
49.
National Securities Markets Improvement Act of 1996
Author
United States
Published
[Washington, D.C.? : U.S. G.P.O. : Supt. of Docs., U.S. G.P.O., distributor, 1996]
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
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Books / Online
50.
Pension Security Act of 2003 : report together with minority views (to accompany H.R. 1000) (including cost estimate of the Congressional Budget Office)
Author
United States. Congress. House. Committee on Education and the Workforce
Published
[Washington, D.C. : U.S. G.P.O., 2003]-
Online
pt.1
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
51.
Pension Security Act of 2002 : report together with minority views (to accompany H.R. 3762) (including cost estimate of the Congressional Budget Office)
Author
United States. Congress. House. Committee on Education and the Workforce
Published
[Washington, D.C. : U.S. G.P.O., 2002-
Online
pt.1
pt.1
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
52.
Management audit : Illinois School District Liquid Asset Fund Plus
Author
Illinois. Office of the Auditor General
Published
Springfield, IL : State of Illinois, Office of the Auditor General, 2005.
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
53.
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
Online book
4.B 22/3:S.HRG.108-884
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