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Investment Adviser Regulation 2014:
Institutional Advisory Legal
and Compliance Forum

Purchase this digital coursebook for: $125.00 Add to Cart

Coursebook Papers:

FINRA Reiterates Its Concern about Unsuitable Sales of Non-Traditional ETFs (4 pp) $29.00

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MFDF Updates Best Practices — Fund Directors Should Be Independent and Full Informed (4 pp) $29.00

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'Guaranteed!' 'Protected!' Blog Entry on Fund Names (4 pp) $29.00

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UPMIFA (Uniform Prudent Management of Institutional Funds Act) and Investing Assets of Charitable Organizations (14 pp) $29.00

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View From Groom: Department of Labor Investigations (6 pp) $29.00

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DOL Issues Guidance on Swap Clearing Process (6 pp) $29.00

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Revenue Sharing Payments as Plan Assets (6 pp) $29.00

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ERISA Litigation Update (22 pp) $29.00

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Investing Commodity and Derivative Instruments: New Issues for Advisers (14 pp) $29.00

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Chart of Entity-Level and Transaction-Level Requirements of Dodd-Frank Act (8 pp) $29.00
By Paul B. Goucher

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Registered Investment Companies: Regulatory Developments-PPT-supplemental material (8 pp) $29.00
By Jay G. Baris

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Managing Retirement Assets: A Regulatory Update for Advisers-PPT-supplemental material (22 pp) $29.00
By Jennifer E. Eller

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ERISA Fiduciary Litigation Developments-PPT-supplemental material (8 pp) $29.00
By James O. Fleckner

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SEC Regulatory and Enforcement Roundup-PPT-supplemental material (12 pp) $29.00

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Table of Contents (10 pp)