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Investment adviser regulation : a step-by-step guide to compliance and the law

Author: Clifford E Kirsch
Publisher: New York City : Practising Law Institute, 2011-
Series: Practising Law Institute's corporate and securities law library.
Edition/Format:   Continually updated resource : Updating loose-leaf : English : 3rd edView all editions and formats
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Material Type: Updating loose-leaf
Document Type: Continually Updated Resource
All Authors / Contributors: Clifford E Kirsch
ISBN: 9781402416903 1402416903
OCLC Number: 764507463
Notes: First-2nd eds. by Clifford E. Kirsch.
"#32841."
Description: v. (loose-leaf) : forms ; 26 cm.
Contents: Pt. 1. Background --
pt. 2. Advisers status; SEC-state jurisdiction --
pt. 3. Registration and disclosure --
pt. 4. Attracting clients --
pt. 5. The adviser-client relationship --
pt. 6. Brokerage and trading practices --
pt. 7. Adviser compliance programs --
pt. 8. Recordkeeping, SEC examinations, and enforcement --
pt. 9. State adviser regulations --
pt. 10. Retail advisory services --
pt. 11. Advisory products --
pt. 12. Advisory services in the retirement marketplace --
pt. 13. Institutional and offshore advisory services --
pt. 14. The municipal marketplace --
Appendices.
Series Title: Practising Law Institute's corporate and securities law library.
Responsibility: edited by Clifford E. Kirsch.

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