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Broker-Dealer Regulation (Second Edition)

Treatise  Treatise

Published: November 2011
Last Updated: May 2018

Updated to ensure coverage of the latest laws and regulations governing broker-dealers, the second edition of Broker-Dealer Regulation provides comprehensive and practical overview of the many requirements of this highly regulated area. This two-volume work instructs on how brokerage firms can satisfy SEC/SRO standards, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution standards ...

Hedge Fund Regulation (2nd Edition)

Treatise  Treatise

Published: November 2012
Last Updated: May 2018

Covering one of the most dynamic and rapidly changing sectors of the asset management industry, Hedge Fund Regulation, is designed to provide comprehensive understanding of hedge funds, from their history and investment strategies to the legal and compliance considerations affecting their structuring, management and market activities. It provides a single source that examines all aspects of these innovative investment vehicles and addresses current ...

Fundamentals of Investment Adviser Regulation 2017

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Investment Adviser Regulation 2017, held June, 2017.

Eighteenth Annual Private Equity Forum

Handbook  Course Handbook

Course Handbook from the program Eighteenth Annual Private Equity Forum, held July, 2017.

Fundamentals of Broker-Dealer Regulation 2017

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2017, held July, 2017.

Hedge Fund Management 2017

Handbook  Course Handbook

Course Handbook from the program Hedge Fund Management 2017, held September, 2017.

Fundamentals of Swaps & Other Derivatives 2017

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2017, held October, 2017.

Advanced Swaps & Other Derivatives 2017

Handbook  Course Handbook

Course Handbook from the program Advanced Swaps & Other Derivatives 2017, held October, 2017.

New Developments in Securitization 2017

Handbook  Course Handbook

Course Handbook from the program New Developments in Securitization 2017, held December, 2017.

Understanding Financial Products 2018

Handbook  Course Handbook

Course Handbook from the program Understanding Financial Products 2018, held January 2018.

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, held February 2018.

Investment Management Institute 2018

Handbook  Course Handbook

Course Handbook from the program Investment Management Institute 2018, held March 2018.

Global Capital Markets & the U.S. Securities Laws 2018

Handbook  Course Handbook

Course Handbook from the program Global Capital Markets & the U.S. Securities Laws 2018, held April 2018.

Fiduciary Investment Advice 2018

Handbook  Course Handbook

Course Handbook from the program Fiduciary Investment Advice 2018, held May 2018.

Basics of Mutual Funds and Other Registered Investment Companies 2018

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2018, held May 2018.

Pension Plan Investments 2018: Current Perspectives

Handbook  Course Handbook

Course Handbook from the program Pension Plan Investments 2018: Current Perspectives, held May 2018.

Fundamentals of Investment Adviser Regulation 2018

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Investment Adviser Regulation 2018, held June 2018.

Nineteenth Annual Private Equity Forum

Handbook  Course Handbook

Course Handbook from the program Nineteenth Annual Private Equity Forum, held July 2018.

Fundamentals of Broker-Dealer Regulation 2018

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2018, held July 2018.

Securities Filings 2018: Practical Guidance in a Changing Environment

Handbook  Course Handbook

Course Handbook from the program Securities Filings 2018: Practical Guidance in a Changing Environment, held September 2018.

Securities Law and Practice 2018: How the SEC Works

Handbook  Course Handbook

Course Handbook from the program Securities Law and Practice 2018: How the SEC Works, held October 2018.

Fundamentals of Swaps & Other Derivatives 2018

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2018, held October 2018.

Advanced Swaps & Other Derivatives 2018

Handbook  Course Handbook

Course Handbook from the program Advanced Swaps & Other Derivatives 2018, held October 2018.


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