Investment adviser regulation in a nutshell
By: by Jeffrey J. Haas, Steven R. Howard.
Contributors: Howard, Steven R.
Series: West nutshell series; Nutshell series
Publisher: Thomson/West; West Academic Publishing; West Academic
Published: 2008
Place of publication: St. Paul, MN
Language: eng
Number of pages: 558
ISBN-13: 9780314172655
Subjects: Investment advisors -- Legal status, laws, etc. -- United States; Brokers -- Legal status, laws, etc. -- United States; Securities -- United States
Other titles: Investment adviser regulation.
Notes: Includes index.
Table of contents: title: Introduction; title: Who is an investment adviser?; title: Federal and state authority over investment advisers; title: Hedge fund and collateralized debt obligation (CDO) advisers; title: Registration and form ADV; title: Advertising by investment advisers; title: The advisory relationship; title: Performance of duties; title: Wrap fee programs; title: Proprietary and insider trading; title: Recordkeeping requirements; title: Chief compliance officers (CCOs) and issues relating to them; title: Compliance, inspection and enforcement under the Advisers Act; title: Limited private right of action; title: Purchase and sale of investment advisers; title: Special issues relating to the advisory business.