Author: Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 158
Book Description
Annual Registration Updating Material for Investment Advisers
Author: Publisher:
ISBN:
Category : Disclosure of information
Languages : en
Pages : 158
Book Description
Annual Registration Updating Material for Investment Advisers
Author: Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 76
Book Description
Monthly Catalog of United States Government Publications
Author: Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1224
Book Description
Monthly Catalogue, United States Public Documents
Author: Publisher:
ISBN:
Category : Government publications
Languages : en
Pages : 1300
Book Description
How to Create and Manage a Mutual Fund or Exchange-Traded Fund
Author: Melinda GerberPublisher: John Wiley & Sons
ISBN: 1118160711
Category : Business & Economics
Languages : en
Pages : 258
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.
SEC Docket
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 1432
Book Description
Code of Federal Regulations
Author: Publisher:
ISBN:
Category : Administrative law
Languages : en
Pages : 1016
Book Description
Special edition of the Federal Register, containing a codification of documents of general applicability and future effect ... with ancillaries.
New Serial Titles
Author: Publisher:
ISBN:
Category : Periodicals
Languages : en
Pages : 1644
Book Description
A union list of serials commencing publication after Dec. 31, 1949.
Investment Adviser's Legal and Compliance Guide, 3rd Edition
Author: O'Malley, WalshPublisher: Wolters Kluwer
ISBN: 1543812562
Category : Law
Languages : en
Pages : 990
Book Description
Investment Adviser's Legal and Compliance Guide
United States
Author: International Monetary Fund. Monetary and Capital Markets DepartmentPublisher: International Monetary Fund
ISBN: 1484312821
Category : Business & Economics
Languages : en
Pages : 248
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.
