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Investment Adviser Regulation
Language: en
Pages: 0
Authors: Clifford E. Kirsch
Categories: Business & Economics
Type: BOOK - Published: 2006 - Publisher:

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Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law gives you the thorough regulatory guidance you need to understand the rules curren
Investment Adviser Regulation in a Nutshell
Language: en
Pages: 0
Authors: Jeffrey J. Haas
Categories: Brokers
Type: BOOK - Published: 2008 - Publisher: West Academic Publishing

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Softbound - New, softbound print book.
Investment Management Regulation
Language: en
Pages: 684
Authors: Joseph A. Franco
Categories:
Type: BOOK - Published: 2019-03-13 - Publisher:

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Investor and Industry Perspectives on Investment Advisers and Broker-Dealers
Language: en
Pages: 151
Authors: Angela A. Hung
Categories: Law
Type: BOOK - Published: 2008-03-12 - Publisher: Rand Corporation

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In theory, financial professionals are relatively distinct: A broker-dealer conducts transactions in securities on behalf of itself and others; and an investmen
Regulation of Investment Advisers
Language: en
Pages:
Authors: Thomas P. Lemke
Categories: Investment advisors
Type: BOOK - Published: 2015 - Publisher:

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