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Overview of Program; Who is an Investment Adviser?

Recorded on: Jul. 18, 2013
Running Time: 00:55:40

Full Transcript:


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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2013 recorded July, 2013 in New York.

Lecture Topics  [00:55:40]

Overview of Program; Who is an Investment Adviser?  [00:55:40]
  • The Adviser definition
  • Exceptions to the definition
  • Status of broker-dealers
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Registration Under the Investment Advisers Act of 1940 (May 13, 2013)
    Kenneth J. Berman
Speaker(s)
Kenneth J. Berman ~ Debevoise & Plimpton LLP
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