Fundamentals of Investment Adviser Regulation 2018

Front Matter
Faculty Bios
Table of Contents
Chapter 1. Kenneth J. Berman, Gregory T. Larkin and Julie Baine Stem, Norma Angelica Freeland, Registration under The Investment Advisers Act of 1940: Who Is an Investment Adviser? (June 25, 2018)
Chapter 2. State Registration of Investment Advisers
Chapter 3. Form ADV (Paper Version): Uniform Application for Investment Adviser Registration—Part 2: Uniform Requirements for the Investment Adviser Brochure and Brochure Supplements
Chapter 4. Investment Advisers and New Client Relationships (April 27, 2018)
Chapter 5. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program: Risk Alert—Volume VII, Issue 2, Overview of the Most Frequent Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers (April 12, 2018)
Chapter 6. Registration by Investment Advisers to Private Funds and Multiple Entities: SPVs and Relying Advisers (April 30, 2018)
Chapter 7. Investment Advisers to Private Funds: A Short Outline of Key Concepts (April 30, 2018)
Chapter 8. U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, 2018 National Exam Program: Examination Priorities
Chapter 9. U.S. Securities and Exchange Commission, Staff Letter: Engaging on Fund Innovation and Cryptocurrency-related Holdings (January 18, 2018)
Chapter 10. North American Securities Administrators Association: Rise of Fintech Raises New Concerns for Securities Regulators—Survey Shows Millennials at Greatest Risk for Fintech Fraud; Need for Increased Vigilance by Regulators, Industry and Investors (February 15, 2018)
Chapter 11. North American Securities Administrators Association–2018: Investment Adviser Section Annual Report—Based on 2017 Data and Activities
Index