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Author: United States. Congress
Publisher: Createspace Independent Publishing Platform
ISBN: 9781977790460
Category :
Languages : en
Pages : 332
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Book Description
H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012.
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 336
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Book Description
Author: United States. Congress
Publisher: Createspace Independent Publishing Platform
ISBN: 9781977790460
Category :
Languages : en
Pages : 332
Get Book
Book Description
H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012.
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Investment advisors
Languages : en
Pages : 0
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Book Description
Author: Melanie L. Fein
Publisher: Wolters Kluwer
ISBN: 1454801247
Category : Law
Languages : en
Pages : 1662
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Book Description
"The Fourth Edition of a leading resource in the field, this valuable practice tool brings you completely up-to-date on the evolving laws governing banks' securities activities - from regulatory changes in the financial markets and administrative reform to recent court decisions and legislative reform, including the recently enacted Sarbanes-Oxley Act of 2002 and the Gramm-Leach-Bliley Act. Here is everything you need to help build a bank's securities business while avoiding compliance pitfalls. Securities Activities of Banks, Fourth Edition provides: In-depth discussions of the securities activities now permissible for banks, bank holding companies, and financial holding companies, Clear explanations of how securities laws affect banks' securities activities, A complete review of how banks are regulated - including foreign banks and affiliates, Up-to-date analysis of the evolution of the banking laws through agency and court decisions. Detailed descriptions and analyses illuminate the full range of current bank securities activities, including investment and trading activities, brokerage activities, investment advice, underwriting, mutual funds, international securities activities, derivative instruments, deposits and loans, fiduciary activities, and more."--Publisher's website.
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 412
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Book Description
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category :
Languages : en
Pages : 368
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Book Description
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 368
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Book Description
Author: United States. Congress. House. Committee on Financial Services
Publisher:
ISBN:
Category : Banks and banking
Languages : en
Pages : 448
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Book Description
Author: Tamar Frankel
Publisher: Wolters Kluwer
ISBN: 145487063X
Category : Law
Languages : en
Pages : 4826
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Book Description
The Regulation of Money Managers (with the original subtitle: The Investment Company Act and The Investment Advisers Act) was published in 1978 and 1980. The Second Edition, subtitled Mutual Funds and Advisers, was published in 2001 and has been annually updated since then. It is a comprehensive and exhaustive treatise on investment management regulation. The treatise covers federal and state statutes, their legislative history, common law, judicial decisions, rules and regulations of the Securities and Exchange Commission, staff reports, and other publications dealing with investment advisers and investment companies. The treatise touches on other financial institutions such as banks, insurance companies, and pension funds. The work also discusses the economic, business, and theoretical aspects of the investment management industry and their effects on the law and on policy. The treatise contains detailed analysis of the history and development of the Investment Company Act and the Investment Advisers Act. It examines the definitions in the Acts, including the concept of ‘‘investment adviser,’’ ‘‘affiliates,’’ and ‘‘interested persons.’’ It outlines the duties of investment company directors, the independent directors, and other fiduciaries of investment companies. The treatise deals with the SEC’s enforcement powers and private parties’ rights of action.
Author: United States. General Accounting Office
Publisher:
ISBN:
Category : Financial planners
Languages : en
Pages : 60
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Book Description
