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Investment Adviser Regulation

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Coursebook Papers:

Table of Contents

Form ADV Part 2 – The New Disclosure Brochure for Investment Advisers (58 pp) $39.00
By Jennifer L. Klass Steven W. Stone, Esquire

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The Adviser Registration Process and the Adviser Disclosure Regime (12 pp) $29.00
By Clifford E. Kirsch, Esquire

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The SEC’s New Pay-to-Play Rule for Investment Advisers (8 pp) $29.00
By Ki P. Hong, Esquire

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Broker-Dealer and Investment Adviser — Standard of Care (18 pp) $29.00
By Clifford E. Kirsch, Esquire

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Reforming the Regulation of Broker-Dealers and Investment Advisers (48 pp) $29.00

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Legal Ethics (16 pp) $29.00
By Jennifer Bergenfeld, Esquire

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Legal/Compliance Officer Liability (14 pp) $29.00
By Clifford E. Kirsch, Esquire

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SEC Pay-to-Play Rule for Investment Advisers (Rule 206(4)-5)-supplemental material (32 pp) $29.00
By Ki P. Hong, Esquire

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The New Adviser Disclosure Framework-supplemental material (14 pp) $29.00

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