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Who is an Adviser

Recorded on: Jul. 18, 2011
Running Time: 01:16:59

Full Transcript:


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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2011 recorded July, 2011 in New York.

Lecture Topics  [01:16:59]

Who is an Adviser  [01:16:59]
  • The Adviser definition
  • Exceptions to the definition
  • Status of financial planners and 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
    Kenneth J. Berman

Presentation Material
 

  • Who is an Adviser
    Peter M. Rosenblum, Clifford E. Kirsch, Bruce W. Maisel
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