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Fundamentals of Investment Adviser Regulation 2015

Chair(s): Clifford E. Kirsch

Practice Area: Banking and finance, Enforcement (Securities and other financial products), Financial products, Financial services, Investment advisers, Securities and other financial products

Published: Jul 2015 i Other versions can be found in the Related Items tab.
ISBN: 9781402425011
PLI Item #: 57123
CHB Spine #: B2188

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Table of Contents
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Front Matter
Faculty Bios
Table of Contents
Chapter 1. Registration Under the Investment Advisers Act of 1940 (May 8, 2015)
Chapter 2. Introduction to the Investment Advisers Act
Chapter 3. State Registration of Investment Advisers
Chapter 4. Investment Advisers and New Client Relationships
Chapter 5. Regulation of Advisers (Part II): Brokerage and Trading Practices
Chapter 6. Compliance and Exams for Investment Adviser Lawyers (July 15, 2015)
Chapter 7. The Broker-Dealer and Adviser Uniform Standard of Care (May 19, 2015)
Index