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The ABCs of investment adviser regulation 2007

Author: Clifford E Kirsch; Practising Law Institute.
Publisher: New York, NY : Practising Law Institute, ©2007.
Series: Corporate law and practice course handbook series, no. B-1605.
Edition/Format:   Print book : English
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Genre/Form: Rules
Document Type: Book
All Authors / Contributors: Clifford E Kirsch; Practising Law Institute.
ISBN: 9781402408885 1402408889
OCLC Number: 132789367
Notes: "Ord #11305."
Prepared for distribution at the program of the same name held May 11, 2007.
Description: 327 pages : forms ; 23 cm.
Contents: Adviser regulation --
an overview / Audrey C. Talley --
"How to prepare for an SEC inspection" / Steven A. Yadegari --
Form ADV, uniform application for investment adviser registration / submitted by: John Bronson --
Excerpts from relevant statutes and regulations / submitted by: Peter M. Rosenblum --
No action letters / submitted by: Peter M. Rosenblum --
Custody, proxy voting, suitability and investment restrictions / Michael B. Koffler --
Brokerage and trading practices, outline / Domenick Pugliese --
Compliance programs for investment advisers and investment companies / Christopher S. Petito.
Series Title: Corporate law and practice course handbook series, no. B-1605.
Responsibility: chair, Clifford E. Kirsch.

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