The Resource Regulation of money managers : mutual funds and advisers

Regulation of money managers : mutual funds and advisers

Label
Regulation of money managers : mutual funds and advisers
Title
Regulation of money managers
Title remainder
mutual funds and advisers
Title variation
Mutual funds and advisers
Contributor
Author
Issuing body
Subject
Genre
Language
eng
Summary
Provides comprehensive and penetrating analysis available for legal counsel dealing with the regulation surrounding investment advisers and companies. It covers all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. The work also addresses insider trading, "financial advice" in the employer/employee relationship, the Jumpstart Our Business Startups Act, the Dodd-Frank Act, the Sarbanes-Oxley Act, the structure and organization of investment companies, the Gramm-Leach-Bliley Act of 1999, the U.S.A. Patriot Act, foreign investment companies offering their securities in the United States, governance issues, discount brokerage services, internet trading issues, conflicts of interest, money market funds, avoiding Federal Reserve Board jurisdiction, custody of clients' funds, and stock appreciation rights
Member of
Cataloging source
NjRocCCS
Characteristic
updating web site
Entry convention
integrated entry
Frequency
annual
LC call number
KF1078
LC item number
.R44
Nature of contents
  • dictionaries
  • bibliography
Original alphabet or script of title
basic roman
Regularity
regular
http://library.link/vocab/relatedWorkOrContributorName
  • Schwing, Ann Taylor
  • Frankel, Tamar
  • Wolters Kluwer Law & Business (Firm)
Series statement
WK Cheetah. Securities - Federal
http://library.link/vocab/subjectName
  • Mutual funds
  • Investment advisors
Label
Regulation of money managers : mutual funds and advisers
Instantiates
Publication
Distribution
Note
  • Authors: <2015- > by Ann Taylor Schwing and Tamar Frankel
  • Database includes most recent edition only
Antecedent source
file reproduced from original
Bibliography note
Includes bibliographical references and index
Carrier category
online resource
Carrier MARC source
rdacarrier
Color
multicolored
Content category
text
Content type MARC source
rdacontent
Dimensions
unknown
File format
unknown
Form of item
online
http://bibfra.me/vocab/marc/formOfOriginalItem
braille
Level of compression
unknown
Media category
computer
Media MARC source
rdamedia
Publication frequency
Updated annually
Quality assurance targets
unknown
Reformatting quality
unknown
Specific material designation
remote
System control number
(NjRocCCS)ccn00604786
Label
Regulation of money managers : mutual funds and advisers
Publication
Distribution
Note
  • Authors: <2015- > by Ann Taylor Schwing and Tamar Frankel
  • Database includes most recent edition only
Antecedent source
file reproduced from original
Bibliography note
Includes bibliographical references and index
Carrier category
online resource
Carrier MARC source
rdacarrier
Color
multicolored
Content category
text
Content type MARC source
rdacontent
Dimensions
unknown
File format
unknown
Form of item
online
http://bibfra.me/vocab/marc/formOfOriginalItem
braille
Level of compression
unknown
Media category
computer
Media MARC source
rdamedia
Publication frequency
Updated annually
Quality assurance targets
unknown
Reformatting quality
unknown
Specific material designation
remote
System control number
(NjRocCCS)ccn00604786

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