- Covers the registration and regulation of investment advisers under the Investment Advisers Act of 1940 and related legislation, including compliance with Securities and Exchange Commission reporting requirements, Treasury Department regulations, and Labor Department regulations; state and federal investment restrictions; conflict of interest issues; and advertising restrictions.
- Related Titles:
- WESTLAW (Information retrieval system)
- Publication Frequency:
- Updated annually
- Database includes most recent edition only.
Authors: Thomas P. Lemke and Gerald T. Lins.
AVAILABLE ONLINE TO AUTHORIZED DICKINSON USERS; PASSWORD REQUIRED FOR ACCESS.
- Bibliography Note:
- Includes bibliographical references and index.
View MARC record | catkey: 12964272