transcript   Transcript

Who is an Investment Adviser; Regulatory Jurisdiction

Recorded on: Jun. 27, 2018
Running Time: 01:02:16

Full Transcript:



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Taken from the Web Program Fundamentals of Investment Adviser Regulation 2018 Recorded June 2018 in New York

Who is an Investment Adviser; Regulatory Jurisdiction [01:02:16]
  • The Adviser definition
  • Exceptions to the definition
  • How does the SEC administer the Advisers Act?
  • State regulation
  • The interplay between the SEC and the States
  • The role of the other regulators (DOL, FINRA, OCC, CFTC)

Kenneth J. Berman, Clifford E. Kirsch, G. Philip Rutledge

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • Kenneth J. Berman, Gregory T. Larkin and Julie Baine Stem, Norma Angelica Freeland, Registration under The Investment Advisers Act of 1940: Who Is an Investment Adviser? (June 25, 2018)
    Kenneth J. Berman
  • State Registration of Investment Advisers
    G. Philip Rutledge
Presentation Material
  • State Regulation of Investment Advisers
  • G. Philip Rutledge 
    (s)
    Kenneth J Berman ~ Debevoise & Plimpton LLP
    Clifford E Kirsch ~ Eversheds Sutherland (US) LLP
    G. Philip Rutledge ~ Bybel Rutledge LLP
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