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Investment Adviser Regulation--2005

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. CK060

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Coursebook Papers:

NASAA Sweep Identifies Most Common Investment Adviser Problems (18 pp) $29.00

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Investment Adviser Code of Ethics (12 pp) $29.00

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Designing a Successful Compliance Program for the New Age (8 pp) $29.00

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Soft Dollars and Directed Brokerage (22 pp) $29.00

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ERISA Overview for Investment Advisers (26 pp) $29.00

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Department of Labor Enforcement Developments (12 pp) $29.00

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Comparison of SEC and ESBA Enforcement Process (4 pp) $29.00

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