From the program: Fundamentals of Investment Adviser Regulation 2014
Recorded on: Jul. 17, 2014
Taken from the Web Program Fundamentals of Investment Adviser Regulation 2014 recorded July, 2014 in New York.Lecture Topics [01:05:45]Adviser Registration; Regulatory Jurisdiction [01:05:45]
The interplay between the SEC and the states
Registration as an Adviser: The Form ADV
Registration of Associated Persons
The role played by the DOL The purchase price of this segment includes the following article ...