New Feature: Search Alerts are available now.
Skip to main content
About PLI PLUS
- Answer Books
- Course Handbooks
Forms & Checklists
< Back To Results
1 in 1 results
Investment Management Institute 2010
Barry P. Barbash, Paul F. Roye
Banking, Corporate & Securities, Litigation
Other versions can be found in the
PLI Item #:
CHB Spine #:
This version is not current.
Click here for the most recent version.
Add To Bookshelf
Table of Contents
Table of Contents
Chapter 1. Recent SEC Regulatory Initiatives Affecting the Asset Management Industry
Chapter 2. Speech by SEC Staff: Remarks at News Conference Announcing Enforcement Cooperation Initiative and New Senior Leaders, Robert S. Khuzami, Director, Division of Enforcement, U.S. Securities and Exchange Commission
Chapter 3. An Overview of U.S. Financial Services Reform Legislation Relating to Investment Managers
Chapter 4. U.S. Financial Services Legislative Developments
Chapter 5. Registered Adviser Custody Rules: SEC Adopts Final Rules and Issues Guidance to Safeguard the Custody of Client Assets by Investment Advisers
Chapter 6. U.S. House of Representatives Passes Comprehensive OTC Derivatives Legislation
Chapter 7. Proposed Legislation Would Require Registration of Investment Advisers to Private Investment Funds
Chapter 8. Recent Developments in Litigation Involving Mutual Funds and Investment Advisers
Chapter 9. The Investment Management Institute: Enforcement Trends and Themes
Chapter 10. Regulatory Issues for Dually Registered Broker-Dealers/Investment Advisers
Chapter 11. Reforming the Regulation of Broker-Dealers and Investment Advisers
Chapter 12. PLI Investment Management Outline: Compliance and Inspections
Chapter 13. Professional Responsibility
All Contents Copyright © 1996-2020 Practising Law Institute.
PLI Librarian Blog
PLI PLUS app
Continuing Legal Education since 1933.