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.
June 18, 2013
SCOTUS Ending Term with Patent Decisions
From: Patent Law Practice Center
Over the past several days, the United States Supr...
June 13, 2013
Innovating for the Electric Car Economy
Electric charging stations are an important part o...
June 10, 2013
USPTO Update: IP5 Meet, Patent Classification News, Pappas Leaving
In this edition of USPTO Update: (1) World’s five ...
Employment Discrimination Law & Litigation 2013
Jun. 20, 2013
Audit Committees and Financial Reporting 2013: Recent Developments and Current Issues
Jun. 21, 2013
Fundamentals of Broker-Dealer Regulation 2013
Jun. 24, 2013
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