LEADER 01994nam  2200445   450 
001 9910149185203321
005 20230721043425.0
010   $a1-63459-988-8
035   $a(CKB)3710000000932992
035   $a(MiAaPQ)EBC5245560
035   $a(EXLCZ)993710000000932992
100   $a20180313h20082008  uy             0
101 0 $aeng
135   $aurcnu||||||||
181   $2rdacontent
182   $2rdamedia
183   $2rdacarrier
200 10$aInvestment adviser regulation in a nutshell /$fby Jeffrey Haas, Steven Howard
210  1$aSt. Paul, Minnesota :$cThomson/West,$d2008.
210  4$dİ2008
215   $a1 online resource (368 pages) $cillustrations
300   $aIncludes index.
311   $a0-314-17265-3 
327   $aIntroduction -- 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.
606   $aInvestment advisors$xLegal status, laws, etc$zUnited States
606   $aBrokers$xLegal status, laws, etc$zUnited States
606   $aSecurities$zUnited States
615  0$aInvestment advisors$xLegal status, laws, etc.
615  0$aBrokers$xLegal status, laws, etc.
615  0$aSecurities
676   $a346.73092
700   $aHaas$b Jeffrey$0326787
702   $aHoward$b Steven
801  0$bMiAaPQ
801  1$bMiAaPQ
801  2$bMiAaPQ
906   $aBOOK
912   $a9910149185203321
996   $aInvestment adviser regulation in a nutshell$91225846
997   $aUNINA