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Investment Adviser Regulation:
Legal and Compliance Forum on
Institutional Advisory Services

Purchase this digital coursebook for: $125.00 Add to Cart

Coursebook Papers:

Ownership Reporting and Sections 13 and 16 of the Securities Exchange Act of 1934 (22 pp) $29.00
By Kevin J. Campion, Esquire

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Reporting Requirements with Respect to Investments and Positions under the Treasury International Capital and Bureau of Economic Analysis Systems (12 pp) $29.00
By Matthew B. Comstock

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ERISA Litigation Updates (20 pp) $29.00
By James O. Fleckner

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ERISA for Investment Advisers (38 pp) $29.00
By David E. Pickle

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CFTC Registration Requirements and New Rules Affecting Advisers (26 pp) $29.00
By Susan Gault-Brown

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Private Funds (20 pp) $29.00
By John H. Walsh Michael B. Koffler, Esquire Rory M. Cohen, Esquire

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SEC Letter of Oct. 9, 2012 to Executives and Principals of Newly Registered Investment Advisers Regarding the National Exam Program (10 pp) $29.00

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Treasury International Capital and Bureau of Economic Analysis Systems Reporting Requirements-PPT-supplemental material (78 pp) $39.00
By Matthew B. Comstock

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ERISA Fiduciary Litigation Developments-PPT-supplemental material (12 pp) $29.00
By James O. Fleckner

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The New ERISA Disclosure Regime, Related ERISA Developments, and Their Impact on Advisers-PPT-supplemental material (18 pp) $29.00
By David E. Pickle

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SEC Regulatory and Enforcement Roundup-PPT-supplemental material (18 pp) $29.00

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Table of Contents (10 pp)