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Online Results (113)
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.
Bullish thinking the advisor's guide to surviving and thriving on Wall Sreet
Author
Cass, Alden, 1975-
Published
Hoboken, N.J. : John Wiley & Sons, c2008.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
4.
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
5.
Fiduciary investment advice 2018
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
6.
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
7.
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
8.
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
9.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : Securities and Exchange Commission, [1994]
Online
Online book
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
10.
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
11.
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
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
HathiTrust Digital Library >> Online Resource
Format
Books / Online
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
Location
HathiTrust Digital Library >> Online Resource
Format
Books / Online
14.
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 resource
Location
Yale Internet Resource >> None
Format
Books / Online
15.
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
HathiTrust Digital Library >> Online Resource
Format
Books / Online
16.
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
17.
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
18.
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
HathiTrust Digital Library >> Online Resource
Format
Books / Online
19.
The other side of Wall Street : in business it pays to be an animal, in life it pays to be yourself
Author
Harrison, Todd A.
Published
Upper Saddle River, N.J. : FT Press, ©2011.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
20.
Blood on the street : the sensational inside story of how Wall Street analysts duped a generation of investors
Author
Gasparino, Charles
Published
New York : Free Press, 2005.
Location
SML, Stacks, LC Classification >> HG4928.5 .G37X 2005 (LC)
Format
Books
21.
Blood on the street : the sensational inside story of how Wall Street analysts duped a generation of investors
Author
Gasparino, Charles
Published
New York : Free Press, 2005.
Online
Online book (login required)
Location
Internet Archive >> None
Format
Books
22.
The bullish thinking guide for managers how to save your advisors and grow your bottom line
Author
Cass, Alden, 1975-
Published
Hoboken, N.J. : John Wiley & Sons, c2008.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
23.
Liability of asset managers
Published
Oxford : Oxford University Press, 2012.
Location
Law Library >> K1114.5 .L53X 2012
Format
Books
24.
NFA Manual
Online
http://prod.resource.cch.com/resource/scion/publication/WKUS_TAL_5688?cfu=TAA...
Location
Yale Internet Resource
Format
Online
25.
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