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Subject: "Investment advisors"
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Online Results (32)
1.
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
2.
Regulation of investment advisers
Online
Access limited to Law School community, contact reference.law@yale.edu; Cover...
Location
Yale Internet Resource
Format
Online
3.
Fundamentals of investment adviser regulation 2020
Published
New York, New York : Practising Law Institute, [2020]
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
4.
Fundamentals of investment adviser regulation 2019
Published
New York, New York : Practising Law Institute, [2019]
©2019.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
5.
Fundamentals of investment adviser regulation 2018
Published
New York, New York : Practising Law Institute, 2018.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
6.
Fundamentals of investment adviser regulation 2017
Published
New York, New York : Practising Law Institute, [2017]
©2017.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
7.
Fundamentals of investment adviser regulation 2016
Published
New York, N.Y. : Practising Law Institute, 2016.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
8.
Fundamentals of investment adviser regulation 2015
Published
New York, N.Y. : Practising Law Institute, 2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
9.
Fundamentals of investment adviser regulation 2014
Published
New York, N.Y. : Practising Law Institute, 2014.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
10.
Fundamentals of investment adviser regulation 2013
Published
New York, N.Y. : Practising Law Institute, 2013.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
11.
Fundamentals of investment adviser regulation 2012
Published
New York, N.Y. : Practising Law Institute, [2012]
©2012.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
12.
Fundamentals of investment adviser regulation 2011
Published
New York, N.Y. : Practising Law Institute, [2011]
©2011.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
13.
Fundamentals of investment adviser regulation 2010
Published
New York, N.Y. : Practising Law Institute, 2010.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
14.
Fundamentals of investment adviser regulation 2009
Published
New York, N.Y. : Practising Law Institute, [2009]
©2009.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
15.
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
HathiTrust Digital Library >> Online Resource
Format
Books / Online
16.
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
17.
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 resource
Location
Yale Internet Resource >> None
Format
Books / Online
18.
Nelson's research monthly
Published
[Port Chester, NY : Nelson Publications, c1987-
Location
MARX Library >> shelved by title
Format
Journals & Newspapers
19.
Broker-dealer advisory services 2016 : current legal and compliance issues facing dual registrants
Published
New York, N.Y. : Practising Law Institute, 2016.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
20.
Broker-dealer advisory services 2015 : current legal and compliance issues facing dual registrants
Published
New York, N.Y. : Practising Law Institute, [2015]
©2015.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
21.
Municipal securities activity by broker-dealers and advisers 2012
Published
New York, N.Y. : Practising Law Institute, [2012]
©2012.
Online
Online Book
Location
Yale Internet Resource
Format
Books / Online
22.
Broker-dealer regulation
Published
New York : Practising Law Institute, [2011]-
©2011-
Online
Online Book
Location
Yale Internet Resource
Format
Online
23.
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
24.
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
HathiTrust Digital Library >> Online Resource
Format
Books / Online
25.
Investment adviser regulation in a nutshell
Author
Haas, Jeffrey J.
Online
West Academic Study Aids - Hornbooks & Nutshells
Location
Yale Internet Resource
Format
Books / Online