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26.
InsidersChoice to CFA 2007 level I certification / The candidate's guide to Chartered Financial Analyst learning outcome statements
Author
Vessey, Jane
Published
Friendswood, TX : TotalRecall Publications, c2006.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
27.
Examwise for CFA 2006 level I certification the candidates question and answer workbook to chartered financial analyst 2006 level-I
Author
Vessey, Jane
Published
Friendswood, TX : Total Recall Publications, c2006.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
28.
CFA 2008 level I certification with preliminary reading assignments ; the candidates question and answer workbook for chartered financial analyst
Author
Vessey, Jane
Published
Friendswood, TX : TotalRecall, c2008.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
29.
CFA 2006 level I certification the candidates 500 question concept check Q & A workbook for chartered financial analyst
Author
Vessey, Jane
Published
Friendswood, TX : Total Recall Publications, 2008.
Online
Online book
Location
Yale Internet Resource >> None
Format
Books / Online
30.
Ethics in the investment profession : a survey
Author
Veit, E. Theodore
Published
[Charlottesville, Va.] : Research Foundation of the Institute of Chartered Financial Analysts, c1992.
Location
Library Shelving Facility (LSF) >> HF5387 V44 1992 (LC)
Format
Books
31.
US regulation for asset managers outside the United States
Published
London : Sweet & Maxwell, 2017.
Location
Law Library >> KF1072 .U63 2017
Format
Books
32.
Investor capitalism : how money managers are changing the face of corporate America
Author
Useem, Michael
Published
New York : Basic Books, c1996.
Location
Law Library >> HG4910 .U83 1996
Format
Books
33.
Investor capitalism : how money managers are changing the face of corporate America
Author
Useem, Michael
Published
New York : Basic Books, c1996.
Location
MARX Library >> HG4910 .U83X 1996 (LC)
Format
Books
34.
Investor capitalism : how money managers are changing the face of corporate America
Author
Useem, Michael
Published
New York : Basic Books, c1996.
Online
Online book (login required)
Location
Internet Archive >> None
Format
Books
35.
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
36.
Protection of clients' securities and funds in custody of investment advisers : report on embezzlement of clients' securities and funds by two investment advisers and recommendations for amending the Investment advisers act of 1940
Author
United States. Securities and Exchange Commission
Published
Philadelphia, PA : Securities and Exchange Commission, 1945.
Location
Law Library >> HG4621 .U55 1945
Format
Books
37.
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
38.
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
39.
Review of the commission's processes for selecting investment advisers and investment companies for examination
Author
United States. Securities and Exchange Commission. Office of Audits, author
Published
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2009.
Online
https://purl.fdlp.gov/GPO/gpo85065
Location
Yale Internet Resource >> None
Format
Books / Online
40.
Review and analysis of OCIE examinations of Bernard L. Madoff Investment Securities, LLC
Author
United States. Securities and Exchange Commission. Office of Audits, author
Published
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2009.
Online
https://purl.fdlp.gov/GPO/gpo85061
Location
Yale Internet Resource >> None
Format
Books / Online
41.
Audit of the Office of Compliance Inspections and Examinations' investment adviser examination completion process
Author
United States. Securities and Exchange Commission. Office of Audits, author
Published
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, 2017.
Online
https://purl.fdlp.gov/GPO/gpo93711
Location
Yale Internet Resource >> None
Format
Books / Online
42.
Audit of Public Transportation Benefit Program
Author
United States. Securities and Exchange Commission. Office of Audits
Published
Washington, D.C. : U.S. Securities and Exchange Commission, Office of Inspector General, Office of Audits, [2009]
Online
http://purl.fdlp.gov/GPO/gpo586
Location
Yale Internet Resource >> None
Format
Books / Online
43.
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
44.
Investment adviser registration package
Author
United States. Securities and Exchange Commission
Published
Washington, D.C. : U.S. Securities and Exchange Commission, [1991]
Location
SML, Microform (Non-Circulating) >> SE 1.2:R 26/2
Format
Books / Microforms
45.
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
46.
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
47.
Selecting fund managers for the Legacy Securities Public-Private Investment Program
Author
United States. Office of the Special Inspector General for the Troubled Asset Relief Program, author
Published
Washington, D.C. : Special Inspector General for the Troubled Asset Relief Program, 2010.
Online
https://purl.fdlp.gov/GPO/gpo91529
Location
Yale Internet Resource >> None
Format
Books / Online
48.
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
Format
Books / Online
49.
Investment company act of 1940 as in effect June 4, 1977
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
Unavailable--Try BorrowDirect or Interlibrary Loan >> SE 1.5:In 8/977
Format
Books
50.
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