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Investment Adviser Regulation--2006

These materials examine key legal issues and trends affecting investment advisers, with particular focus on the current SEC initiatives that are overhauling the regulatory landscape, including the recently adopted Compliance Rule and Code of Ethics Rule and the pending rules to register hedge fund advisers and exempt certain brokerage arrangements. CL062

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Coursebook Papers:

The Regulation of Investment Advisers by the Securities and Exchange Commission (45 pp) $29.00

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A Peek into the Future: The Regulatory Agenda (24 pp) $29.00

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Regulators Urge Investors to Carefully Check Credentials of ‘Senior Specialists’ (4 pp)

SEC, NASAA Announce IARD System Fee Waiver (4 pp)

The SEC’s Securities Compliance Examination Program (7 pp) $29.00

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ERISA for Investment Advisers (31 pp) $29.00

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Private Investment Funds: Basic Structures and Current Developments (25 pp) $29.00

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U.S. Department of Labor Fact Sheet, Jan. 3, 2006: Selecting and Monitoring Pension Consultants – Tips for Plan Fiduciaries (6 pp) $29.00

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Broker-Dealer Advisory Services (19 pp) $29.00

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Compliance Policies and Procedures (38 pp) $29.00

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A Plan for an Annual Compliance Review (10 pp) $29.00

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Soft Dollars and Directed Brokerage (24 pp) $29.00

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Coursebook Subscription - Securities
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