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Registration under the Advisers Act : a legal and compliance forum for new SEC advisers, 2011

Author: Clifford E Kirsch; Practising Law Institute.
Publisher: New York, NY : Practising Law Institute, ©2011.
Series: Corporate law and practice course handbook series, no. B-1878.
Edition/Format:   Print book : EnglishView all editions and formats
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Genre/Form: Rules
Document Type: Book
All Authors / Contributors: Clifford E Kirsch; Practising Law Institute.
ISBN: 9781402415647 1402415648
OCLC Number: 711339094
Notes: "Ord #32660"--Spine.
Prepared for distribution at the program of the same name held March 28, 2011.
Description: 127 pages : portraits ; 23 cm
Contents: Registration under the Investment Advisers Act of 1940 / Kenneth J. Berman, Gregory T. Larkin --
The adviser registration process and the adviser disclosure regime / Clifford E. Kirsch --
Introduction to the Investment Advisers Act of 1940 / Clifford E. Kirsch --
Adviser compliance programs / Clifford E. Kirsch --
Broker dealer and investment adviser : standard of care / Clifford E. Kirsch, Bruce Maisel.
Series Title: Corporate law and practice course handbook series, no. B-1878.
Other Titles: Legal and compliance forum for new SEC advisers
Responsibility: chair, Clifford E. Kirsch.

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