The ABCs of investment adviser regulation
By: chair, Clifford E. Kirsch
Contributors: Practising Law Institute
Series: Corporate law and practice course handbook series -- no. B-1572
Publisher: Practising Law Institute
Published: 2006
Place of publication: New York, NY
Language: eng
Number of pages: 310
ISBN-13: 9781402408274
Subjects: Investment advisors; Legal status, laws; Investments; Law and legislation; Securities; Rules and practice; United States. Securities and Exchange Commission; United States
Notes: Includes bibliographical references.
Table of contents: title: Adviser regulation - an  overview  -- Audrey C. Talley; title: Form ADV, uniform application for investment adviser regulation  -- John Bronson; title: Excerpts from relevant statutes and regulations  -- Peter M. Rosenblum; title: No action letters  -- Peter M. Rosenblum; title: Custody, proxy voting, suitability and investment restrictions  -- Michael B. Koffler; title: Brokerage and trading practices  -- Domenick Pugliese; title: Compliance programs for investment advisers and investment companies ; title: Christopher S. Petito.