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Investment Adviser Regulation--2007

This popular and well-received annual course of study provides an ideal opportunity for investment advisers and their counsel to get up to speed on all of the regulatory issues (Advisers Act, ERISA, and state securities regulation) that affect their businesses. Unlike other programs, which examine only part of the picture, this advanced course brings together all of the regulatory areas of concern, and presents them in a comprehensive, integrated, one-day program. Representatives from regulatory agencies (including the Securities and Exchange Commission, state securities departments, and the U.S. Department of Labor) join private practitioners, in-house counsel, and compliance officers in examining key legal issues and trends. Particular attention is paid to the current SEC initiatives that are overhauling the regulatory landscape, including the BD/IA (Broker-Dealer/Investment Adviser) Study, the hedge fund rule, and the new soft dollar interpretative release. The effect of the Pension Protection Act of 2006 on advisers also is analyzed. CM064

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Coursebook Papers:

Table of Contents

Soft Dollars and Directed Brokerage (20 pp) $29.00

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The Development of a Compliance Culture (10 pp) $29.00

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Annual Reviews and SEC Exams (14 pp) $29.00

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Dealing with Ethical Issues that Arise in Enforcement Investigations and Inspections (142 pp) $49.00

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ERISA for Investment Advisers (30 pp) $29.00

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U.S. Department of Labor Employee Benefits Security Administration Letters (10 pp) $29.00

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WRAP Fee Programs: New Challenges in a Familiar Framework (27 pp) $29.00

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Securities and Exchange Commission Proposed Rule re Prohibition of Fraud by Advisers to Certain Pooled Investment Vehicles: Accredited Investors in Certain Private Investment Vehicles (70 pp) $39.00

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Private Investment Funds: Basic Structures and Current Developments (28 pp) $29.00

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Course Materials Subscription

Purchase a course materials subscription and get this book and many more for one low price. The above course materials are part of the following Practice Area subscriptions:

Coursebook Subscription - Securities
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