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Fundamentals of Investment Adviser Regulation 2014
Clifford E. Kirsch
Corporate & Securities
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Table of Contents
Table of Contents
Chapter 1. Registration Under the Investment Advisers Act of 1940 (April 25, 2014)
Chapter 2. Introduction to the Investment Advisers Act
Chapter 3. State Registration of Investment Advisers
Chapter 4. Form ADV: Uniform Application for Investment Adviser Registration and Report Form by Exempt Reporting Advisers
Chapter 5. Investment Advisers and New Client Relationships
Chapter 6. Regulation of Advisers: Brokerage and Trading Practices
Chapter 7. Compliance and Exams for Investment Adviser Lawyers (July 16, 2014)
Chapter 8. Adviser Compliance Policies and Procedures
Chapter 9. The Broker-Dealer and Adviser Uniform Standard of Care (May 15, 2014)
Chapter 10. Legal/Compliance Officer Liability for Duty to Supervise
Chapter 11. Investment Advisers to Private Funds: A Short Outline of Key Concepts (May 13, 2014)
Chapter 12. Private Fund Investment Advisers Registration Act of 2010: Title IV—Regulation of Advisers to Hedge Funds and Others (July 21, 2010)
Chapter 13. Selected Regulations Under the Investment Advisers Act of 1940
Chapter 14. SEC Investment Management Guidance Update: Guidance on the Exemption for Advisers to Venture Capital Funds—No. 2013–13 (December 2013)
Chapter 15. SEC Interpretive Guidance Concerning Registration of Related Persons Under the Investment Adviser Act of 1940 (January 18, 2012)
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