At a time of many regulatory changes being made as a result of the economic downturn, the new third edition of Investment Adviser Regulation guides you safely through the maze of Congressional, SEC, and state standards impacting investment advisers as well as helping you understand the practical aspects of building a practice. It clarifies key status issues that determine registration and disclosure duties as well as liability exposure. Specifically, it shows you how to:
The new third edition of Investment Adviser Regulation describes Regulation S-AM, which tightens the privacy requirements on client financial information • the various proposals on harmonizing broker-dealer and financial adviser regulation • proposals on increased fiduciary responsibilities • as well as the need for the development of improved risk management systems as a result of recent market disruptions.
Updated at least once a year, Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law is a crucial handbook for investment advisers, securities attorneys, compliance personnel, and federal and state regulators, and a useful reference for today's investors.
May 24, 2013
Apple Patents Digital Handshake Between Devices
From: Patent Law Practice Center
On April 23, 2013, Apple obtained U.S. Patent No. ...
May 22, 2013
USPTO Update: After Final, Software and Sequestration
Recently there has been some interesting news comi...
May 17, 2013
Unanimous SCOTUS Sides with Monsanto on Seeds
On Monday, May 13, 2013, the United States Supreme...
By Judges for Judges, Veterans in Your Courtroom: An Overview
May. 24, 2013
New Jersey Basic CLE Marathon 2013
May. 28, 2013
Delaware Law Developments 2013: What All Business Lawyers Need to Know
May. 29, 2013
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