Annual Registration Updating Material for Investment Advisers PDF Download
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Author:
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 158
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Book Description
Author:
Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 158
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Book Description
Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 76
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Book Description
Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1224
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Book Description
Author:
Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1300
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Book Description
Author: Melinda Gerber
Publisher: John Wiley & Sons
ISBN: 1118160711
Category : Business & Economics
Languages : en
Pages : 258
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Book Description
With this book, author Melinda Gerber walks you through the twenty-nine steps needed to start a mutual fund and the thirty-six steps needed to start an ETF. She provides costs and detailed explanations of how to accomplish each task from fledgling idea to the actuality of selling shares, and also takes the time to explain the importance of creating a clear vision for your fund as well as how to successfully profile customers and identify your competition.
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1432
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Book Description
Author:
Publisher:
ISBN:
Category : Administrative law
Languages : en
Pages : 1016
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Book Description
Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries.
Author:
Publisher:
ISBN:
Category : Periodicals
Languages : en
Pages : 1644
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Book Description
A union list of serials commencing publication after Dec. 31, 1949.
Author: O'Malley, Walsh
Publisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990
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Book Description
Investment Adviser's Legal and Compliance Guide
Author: International Monetary Fund. Monetary and Capital Markets Department
Publisher: International Monetary Fund
ISBN: 1484312821
Category : Business & Economics
Languages : en
Pages : 248
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Book Description
This paper discusses key findings of the Detailed Assessment of Implementation of the IOSCO (International Organization of Securities Commissions) Objectives and Principles of Securities Regulation on the United States. The United States has large, well-developed, and complex securities and derivatives markets. Postcrisis, the legal mandates of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) have significantly expanded. The level of funding of both the SEC and CFTC is a key challenge affecting their ability to deliver on their mandates in a way that provides confidence to markets and investors. The fragmented structure of equity markets remains a key challenge for the SEC.
