01210nam a22003255i 4500991002214299707536cr nn 008mamaa121227s1985 gw | s |||| 0|eng d9783540397472b1413908x-39ule_instBibl. Dip.le Aggr. Matematica e Fisica - Sez. Matematicaeng51523AMS 46A12AMS 46F05AMS 46F10Eijndhoven, S. J. L.478888Trajectory spaces, generalized functions and unbounded operators[e-book] /by S. J. L. Eijndhoven, J. GraafBerlin :Springer,19851 online resource (vi, 274 p.)Lecture Notes in Mathematics,0075-8434 ;1162MathematicsGlobal analysis (Mathematics)Graaf, J.Springer eBookshttp://dx.doi.org/10.1007/BFb0081149An electronic book accessible through the World Wide Web.b1413908x03-03-2205-09-13991002214299707536Trajectory spaces, generalized functions and unbounded operators262632UNISALENTOle01305-09-13m@ -enggw 0001994nam 2200445 450 991014918520332120230721043425.01-63459-988-8(CKB)3710000000932992(MiAaPQ)EBC5245560(EXLCZ)99371000000093299220180313h20082008 uy 0engurcnu||||||||rdacontentrdamediardacarrierInvestment adviser regulation in a nutshell /by Jeffrey Haas, Steven HowardSt. Paul, Minnesota :Thomson/West,2008.©20081 online resource (368 pages) illustrationsIncludes index.0-314-17265-3 Introduction -- Who is an investment adviser? -- Federal and state authority over investment advisers -- Hedge fund and collateralized debt obligation (CDO) advisers -- Registration and form ADV -- Advertising by investment advisers -- The advisory relationship -- Performance of duties -- Wrap fee programs -- Proprietary and insider trading -- Recordkeeping requirements -- Chief compliance officers (CCOs) and issues relating to them -- Compliance, inspection and enforcement under the Advisers Act -- Limited private right of action -- Purchase and sale of investment advisers -- Special issues relating to the advisory business.Investment advisorsLegal status, laws, etcUnited StatesBrokersLegal status, laws, etcUnited StatesSecuritiesUnited StatesInvestment advisorsLegal status, laws, etc.BrokersLegal status, laws, etc.Securities346.73092Haas Jeffrey326787Howard StevenMiAaPQMiAaPQMiAaPQBOOK9910149185203321Investment adviser regulation in a nutshell1225846UNINA