Small Account Investment Management Services Recommendations For Clearer Policies And Guidelines
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Author | : United States. Advisory Committee on Investment Management Services for Individual Investors |
Publisher | : |
Total Pages | : 96 |
Release | : 1973 |
Genre | : Investment advisors |
ISBN | : |
Author | : |
Publisher | : |
Total Pages | : 97 |
Release | : 1973 |
Genre | : Investment advisors |
ISBN | : |
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities |
Publisher | : |
Total Pages | : 600 |
Release | : 1973 |
Genre | : Government publications |
ISBN | : |
Author | : United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs |
Publisher | : |
Total Pages | : 620 |
Release | : 1973 |
Genre | : |
ISBN | : |
Author | : United States. Securities and Exchange Commission. Broker-Dealer Model Compliance Program Advisory Committee |
Publisher | : |
Total Pages | : 318 |
Release | : 1974 |
Genre | : Securities |
ISBN | : |
Author | : United States. Congress. Senate. Committee on Government Operations |
Publisher | : |
Total Pages | : 1218 |
Release | : 1973 |
Genre | : Executive departments |
ISBN | : |
Author | : United States. President |
Publisher | : |
Total Pages | : 1204 |
Release | : 1973 |
Genre | : Executive advisory bodies |
ISBN | : |
Author | : United States. Congress. Senate. Governmental Operations |
Publisher | : |
Total Pages | : 1256 |
Release | : 1973 |
Genre | : |
ISBN | : |
Author | : United States. Congress. Senate. Committee on Government Operations. Subcommittee on Budgeting, Management, and Expenditures |
Publisher | : |
Total Pages | : 1204 |
Release | : 1973 |
Genre | : Executive advisory bodies |
ISBN | : |
Author | : Tamar Frankel |
Publisher | : Wolters Kluwer |
Total Pages | : 4826 |
Release | : 2015-09-16 |
Genre | : Law |
ISBN | : 145487063X |
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.