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Broker-dealer regulation in a nutshell / / Thomas Lee Hazen
| Broker-dealer regulation in a nutshell / / Thomas Lee Hazen |
| Autore | Hazen Thomas Lee <1947-> |
| Edizione | [Second edition.] |
| Pubbl/distr/stampa | St. Paul, Minnesota : , : West Academic Publishing, , 2011 |
| Descrizione fisica | 1 online resource (167 pages) |
| Disciplina | 346.730926 |
| Collana | Nutshell series |
| Soggetto topico | Stockbrokers - Legal status, laws, etc - United States |
| ISBN | 1-62810-605-0 |
| Formato | Materiale a stampa  |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Record Nr. | UNINA-9910136676603321 |
Hazen Thomas Lee <1947->
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| St. Paul, Minnesota : , : West Academic Publishing, , 2011 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
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The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby
| The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby |
| Autore | Demby Elayne Robertson <1962-> |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | New York, : Bloomberg Press, 2006 |
| Descrizione fisica | 1 online resource (317 p.) |
| Disciplina |
346.73/0926
346.730926 |
| Collana | Bloomberg Financial |
| Soggetto topico |
Investment advisors - Legal status, laws, etc - United States
Investment advisors - Licenses - United States Investments - Law and legislation - United States |
| Soggetto genere / forma | Electronic books. |
| ISBN |
0-470-88508-4
1-119-20135-7 1-282-68977-0 9786612689772 0-470-88305-7 1-57660-253-2 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Terms and acronyms -- Federal and state laws and other regulations -- RIA registration : what it means, how it's done -- The nuts and bolts of Form ADV -- How to complete Form ADV part 1 -- How to complete Form ADV part 2 -- RIA compliance programs and codes of ethics -- Investment recommendations and fiduciary obligations -- Advisory contracts and fees -- Custody of customer accounts -- Selecting brokers and executing trades -- Personal securities trading and reporting -- Voting client proxies -- Record-keeping requirements -- Advertising and client communications -- Referrals -- ERISA plans -- Soft dollars -- Protecting clients' privacy -- Money laundering -- Supervising employees -- SEC examinations and enforcement actions. |
| Record Nr. | UNINA-9910146449603321 |
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Demby Elayne Robertson <1962->
|
||
| New York, : Bloomberg Press, 2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||
The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby
| The RIA's compliance solution book [[electronic resource] ] : answers for the critical questions / / Elayne Robertson Demby |
| Autore | Demby Elayne Robertson <1962-> |
| Edizione | [1st ed.] |
| Pubbl/distr/stampa | New York, : Bloomberg Press, 2006 |
| Descrizione fisica | 1 online resource (317 p.) |
| Disciplina |
346.73/0926
346.730926 |
| Collana | Bloomberg Financial |
| Soggetto topico |
Investment advisors - Legal status, laws, etc - United States
Investment advisors - Licenses - United States Investments - Law and legislation - United States |
| ISBN |
0-470-88508-4
1-119-20135-7 1-282-68977-0 9786612689772 0-470-88305-7 1-57660-253-2 |
| Formato | Materiale a stampa |
| Livello bibliografico | Monografia |
| Lingua di pubblicazione | eng |
| Nota di contenuto | Terms and acronyms -- Federal and state laws and other regulations -- RIA registration : what it means, how it's done -- The nuts and bolts of Form ADV -- How to complete Form ADV part 1 -- How to complete Form ADV part 2 -- RIA compliance programs and codes of ethics -- Investment recommendations and fiduciary obligations -- Advisory contracts and fees -- Custody of customer accounts -- Selecting brokers and executing trades -- Personal securities trading and reporting -- Voting client proxies -- Record-keeping requirements -- Advertising and client communications -- Referrals -- ERISA plans -- Soft dollars -- Protecting clients' privacy -- Money laundering -- Supervising employees -- SEC examinations and enforcement actions. |
| Record Nr. | UNINA-9910830247503321 |
|
Demby Elayne Robertson <1962->
|
||
| New York, : Bloomberg Press, 2006 | ||
| Materiale a stampa | ||
| Lo trovi qui: Univ. Federico II | ||
| ||