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Investment Adviser Regulation

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Coursebook Forms:

NASAA Model Rule on the Use of Senior-Specific Certifications and Professional Designations (6 pp) $29.00
By Patricia D. Struck, Esquire

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Coursebook Papers:

Table of Contents

Investment Advice for Employee Benefit Plans and IRAs (34 pp) $29.00
By W. Mark Smith, Esquire

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2007 Coordinated Investment Adviser Exams (16 pp) $29.00
By Patricia D. Struck, Esquire

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Broker-Dealer Advisory Services (18 pp) $29.00
By Mari-Anne Pisarri, Esquire

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Regulation of Investment Advisers by the U.S. Securities and Exchange Commission (56 pp) $39.00
By Robert E. Plaze, Esquire

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Wrap-Fee Programs: Meeting the Regulatory Challenges (22 pp) $29.00
By Michael B. Koffler, Esquire

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Adviser Issues in the Institutional Marketplace (24 pp) $29.00
By P. Georgia Bullitt

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Pension Protection Act of 2006 -- Investments, Insurance and Services (18 pp) $29.00
By P. Georgia Bullitt

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DOL Issues First Guidance on PPA Investment Advice Provision (4 pp) $29.00
By P. Georgia Bullitt

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Soft Dollars: Recent Developments and Selected Issues (28 pp) $29.00
By Kenneth J. Berman, Esquire

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Advertising and Referral Arrangements (30 pp) $29.00
By Michael B. Koffler, Esquire

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Practical Tips for Handling Regulatory Inspections (24 pp) $29.00
By Christopher S. Petito, Esquire

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An Analysis of SEC Registered Hedge Fund Managers (10 pp) $29.00

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IM Insight, October 15, 2007 (10 pp) $29.00
By Jeffrey C. Morton

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Private Advisers (16 pp) $29.00
By Jeffrey C. Morton

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Compliance Roundtable (16 pp) $29.00
By Jeffrey C. Morton

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How to Prepare for an SEC Inspection (7 pp) $29.00
By Steven A. Yadegari, Esquire

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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
Price: $399.00 Add to Cart

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