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Author : United States
Publisher :
ISBN 13 :
Total Pages : 114 pages
Book Rating : 4.3/5 (91 download)
Download or read book Investment Company Act of 1940, as Amended written by United States and published by . This book was released on 1970 with total page 114 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author :
Publisher :
ISBN 13 :
Total Pages : 978 pages
Book Rating : 4.:/5 (43 download)
Download or read book The Investment Company Act of 1940 written by and published by . This book was released on 1981 with total page 978 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States
Publisher :
ISBN 13 :
Total Pages : 48 pages
Book Rating : 4.F/5 ( download)
Download or read book Investment Company Act of 1940, as Amended August 10, 1954, Public No. 768, 76th Congress, H.R. 10065 written by United States and published by . This book was released on 1959 with total page 48 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 974 pages
Book Rating : 4.F/5 ( download)
Download or read book Investment Company Act Release written by United States. Securities and Exchange Commission and published by . This book was released on 1967 with total page 974 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Robert H. Rosenblum
Publisher : Aspen Publishers
ISBN 13 : 9781567064667
Total Pages : 1100 pages
Book Rating : 4.0/5 (646 download)
Download or read book Investment Company Determination Under the 1940 Act written by Robert H. Rosenblum and published by Aspen Publishers. This book was released on 1997 with total page 1100 pages. Available in PDF, EPUB and Kindle. Book excerpt: This is the first book to focus solely and comprehensively on the sections of the Investment Company Act of 1940 that deal with exemptions and exceptions, many of which were seriously impacted by recent Congressional changes. Written by an expert practitioner and former SEC Counsel, this reference devotes over 1,000 pages to examining all the significant changes to the Act, paying special attention to: the exception for private investment companies Newly authorized qualified purchaser funds Changes in the regulation of variable annuity and variable life insurance products and many more equally important, rapidly evolving, issues. INVESTMENT COMPANY DETERMINATION UNDER THE 1940 ACT: EXEMPTIONS AND EXCEPTIONS also addresses a number of important areas and is designed to help professionals at every level of expertise determine whether or not a particular company can be classified as an investment company. Numerous citations, pointers, and references allow users to find relevant information quickly, easily, confidently.
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 76 pages
Book Rating : 4.:/5 (31 download)
Download or read book General Rules and Regulations Under the Investment Company Act of 1940, as in Effect November 1, 1968 written by United States. Securities and Exchange Commission and published by . This book was released on 1968 with total page 76 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 56 pages
Book Rating : 4.A/5 ( download)
Download or read book General Rules and Regulations Under the Investment Company Act of 1940 written by United States. Securities and Exchange Commission and published by . This book was released on 1941 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States
Publisher :
ISBN 13 :
Total Pages : 112 pages
Book Rating : 4.3/5 (91 download)
Download or read book Investment Company Act of 1940, as Amended written by United States and published by . This book was released on 1977 with total page 112 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Terrance J. O'Malley
Publisher : Wolters Kluwer
ISBN 13 : 1454838493
Total Pages : 1060 pages
Book Rating : 4.4/5 (548 download)
Download or read book Investment Adviser's Legal and Compliance Guide written by Terrance J. O'Malley and published by Wolters Kluwer. This book was released on 2013-01-01 with total page 1060 pages. Available in PDF, EPUB and Kindle. Book excerpt: Investment Adviser's Legal and Compliance Guide, Second Edition is an invaluable guide written to assist attorneys and investment advisers in both drafting their compliance policies and procedures and reviewing them annually. In addition, the book serves as a practical tool for experienced attorneys and compliance officers for fulfilling their changing responsibilities under new rules adopted under the Investment Advisers Act of 1940, as well as new staff interpretations and guidance. For the Second Edition, the original author, Terrance J. Oand’Malley, is joined by John H. Walsh. While both authors are seasoned practitioners and acknowledged experts in the area of investment adviser compliance matters, Mr. Walshand’s years of experience, including at the SEC, are reflected in the enhanced practical discussion of relevant legal and compliance issues, including increased numbers of compliance tips, enforcement and regulatory alerts, and compliance tools. Investment Adviser's Legal and Compliance Guide, Second Edition covers in detail such topics as: Filings and amendments that an adviser must make to maintain its SEC registration Major rules and requirements dealing with marketing and attracting new clients Issues arising in connection with the management of private funds The SEC's examination process New clients, and the management of client accounts. The book also covers requirements relating to the adviser's obligation to its customers, including preventing insider trading and other trading abuses, as well as an adviser's recordkeeping, which is a major factor in meeting the requirements of the Investment Advisers Act. In addition, Investment Adviser's Legal and Compliance Guide, Second Edition provides registered investment advisers and their legal counsel with a comprehensive review of their compliance responsibilities that arise under the Investment Advisers Act.
Author : United States
Publisher :
ISBN 13 :
Total Pages : 412 pages
Book Rating : 4.F/5 ( download)
Download or read book Investment Company Act of 1940 and Relevant Rules written by United States and published by . This book was released on 1993 with total page 412 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Tamar Frankel
Publisher :
ISBN 13 : 9781454870678
Total Pages : 0 pages
Book Rating : 4.8/5 (76 download)
Download or read book The Regulation of Money Managers written by Tamar Frankel and published by . This book was released on with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Robert H. Rosenblum
Publisher : American Bar Association
ISBN 13 : 9781590310458
Total Pages : 980 pages
Book Rating : 4.3/5 (14 download)
Download or read book Investment Company Determination Under the 1940 Act written by Robert H. Rosenblum and published by American Bar Association. This book was released on 2003 with total page 980 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Securities and Exchange Commission
Publisher :
ISBN 13 :
Total Pages : 96 pages
Book Rating : 4.F/5 ( download)
Download or read book General Rules and Regulations Under the Investment Company Act of 1940 as in Effect May 10, 1972 written by United States. Securities and Exchange Commission and published by . This book was released on 1972 with total page 96 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States. Congress. Senate. Committee on Banking and Currency
Publisher :
ISBN 13 :
Total Pages : 514 pages
Book Rating : 4.0/5 (1 download)
Download or read book Investment Company Amendments Act of 1969 written by United States. Congress. Senate. Committee on Banking and Currency and published by . This book was released on 1969 with total page 514 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States
Publisher :
ISBN 13 :
Total Pages : 60 pages
Book Rating : 4.A/5 ( download)
Download or read book Investment Company Act of 1940 written by United States and published by . This book was released on 1969 with total page 60 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : Alfred Jaretzki
Publisher :
ISBN 13 :
Total Pages : 56 pages
Book Rating : 4.A/5 ( download)
Download or read book The Investment Company Act of 1940 written by Alfred Jaretzki and published by . This book was released on 1941 with total page 56 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Author : United States
Publisher :
ISBN 13 :
Total Pages : 100 pages
Book Rating : 4.:/5 (31 download)
Download or read book Investment Company Act of 1940 as in Effect November 1, 1974 written by United States and published by . This book was released on 1975 with total page 100 pages. Available in PDF, EPUB and Kindle. Book excerpt:
