Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Second Edition provides unsurpassed guidance for legal counsel in the field. Newly revised and now in a looseleaf format, The Regulation of Money Managers, Second Edition keeps you up-to-date with all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. Among the crucial topics and developments covered, you'll find: - Insider trading - What constitutes qfinancial adviceq in the employer/employee relationship - The Sarbanes-Oxley Act - The structure and organization of investment companies - The Gramm-Leach-Bliley Act of 1999 - The U.S.A. Patriot Act - Conditions under which foreign investment companies may offer their securities in the United States - Governance issues - The SEC's rules and regulations implementing legislation that divided the responsibilities of regulating advisers among the states and the commission - Discount brokerage services - Internet trading issues - Conflicts of interest - Money market funds - How to avoid Federal Reserve Board jurisdiction - Custody of clients' funds - Stock appreciation rights if your practice involves the management of investments or investment companies, you'll find everything you need in this virtually inexhaustible resource.Ap95, 627 at 90, 131 (S.D.N.Y. 1976) (court noted adviser might obtain exemption in such case under section 17(b) when its ... 12, 1980); 43d Annual Report of the SEC, available at http://www.sechistorical.org/ collection/papers/1970/ 1977_SEC_AR.pdf at 55-56 (last visited July 2, 2014). ... Subject to the requirements of Rule 5130, a member of a selling syndicate or selling group, or a member that acts as the ... FINRA Manual, Rule 5141, available at http://finra. complinet.com/en/display/anbsp;...
|Title||:||Regulation of Money Managers|
|Author||:||Tamar Frankel, Ann Taylor Schwing|
|Publisher||:||Aspen Publishers Online - 2000-12-01|