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Showing 1 - 25 of 34 Results

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Broker-Dealer Regulation (Second Edition)

Treatise  Treatise

Published: November 2011
Last Updated: September 2017

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: October 2017

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 ...

Understanding Financial Products 2017

Handbook  Course Handbook

Course Handbook from the program Understanding Financial Products 2017, held January, 2017.

Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Retail Wealth Management 2017: Current Legal and Compliance Issues Facing Dual Registrants, held February, 2017.

The SEC Speaks in 2017

Handbook  Course Handbook

Course Handbook from the program The SEC Speaks in 2017, held February, 2017.

ERISA Fiduciary Investment Basics 2017

Handbook  Course Handbook

Course Handbook from the program ERISA Fiduciary Investment Basics 2017, held March, 2017.

Investment Management Institute 2017

Handbook  Course Handbook

Course Handbook from the program Investment Management Institute 2017, held March, 2017.

Global Capital Markets & the U.S. Securities Laws 2017

Handbook  Course Handbook

Course Handbook from the program Global Capital Markets & the U.S. Securities Laws 2017, held April, 2017.

Basics of Mutual Funds and Other Registered Investment Companies 2017

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2017, held April, 2017.

Pension Plan Investments 2017: Current Perspectives

Handbook  Course Handbook

Course Handbook from the program Pension Plan Investments 2017: Current Perspectives, held May, 2017.

Financial Institutions Answer Book: Law, Governance, Compliance (2017 Edition)

Answer Book  Answer Book

Published: June 2017

Financial Institutions Answer Book provides, in a handy Q&A format, a comprehensive overview of the complex federal requirements regulating financial institutions in the United States. Every aspect of a financial institution life cycle is covered, from understanding the differences in regulation based on what type of charter is chosen, through ongoing capital and deposit activities requirements and major changes in corporate control, ...

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.

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.


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