Investor and industry perspectives on investment advisers and broker-dealers
by Treverton, Gregory F.
DDC/LCC
|
|
1965 |
10 |
2008 |
2008 |
Assessing the limitations of the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, second session, September 23, 2010
by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
LCC
|
|
760 |
6 |
2010 |
2011 |
Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009
by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
LCC
|
|
743 |
4 |
2010 |
2010 |
Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011
by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
LCC
|
|
695 |
4 |
2012 |
2012 |
H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012
by United States. Congress. House. Committee on Financial Services
LCC
|
|
683 |
4 |
2013 |
2013 |
The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, March 7, 2012
by United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises
LCC
|
|
665 |
4 |
2012 |
2013 |
Legislative proposals to relieve the red tape burden on investors and job creators : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Thirteenth Congress, first session, May 23, 2013
by United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
LCC
|
|
665 |
5 |
2013 |
2013 |
Small Business Capital Access and Job Preservation Act : report together with minority views (to accompany H.R. 1082) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
609 |
3 |
2011 |
2011 |
Financial advice markets : a cross-country comparison
by Burke, Jeremy, 1979-
DDC/LCC
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|
604 |
5 |
2015 |
2015 |
Private Fund Investment Advisers Registration Act of 2009 : report (to accompany H.R. 3818) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
599 |
3 |
2010 |
2010 |
Investor Clarity and Bank Parity Act : report (to accompany H.R. 4096) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
579 |
3 |
2016 |
2016 |
Restricting advice and education : DOL's unworkable investment proposal for American families and retirees : hearing before the Subcommittee on Employment and Workplace Safety of the Committee on Health, Education, Labor, and Pensions, United States Senate, One Hundred Fourteenth Congress, first session on examining the Department of Labor's investment proposal for American families and retirees, July 21, 2015
by United States. Congress. Senate. Committee on Health, Education, Labor, and Pensions. Subcommittee on Employment and Workplace Safety
LCC
|
|
557 |
4 |
2017 |
2017 |
Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
557 |
5 |
2013 |
2013 |
Small Business Capital Access and Job Preservation Act : report together with minority views (to accompany H.R. 1105) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
554 |
4 |
2013 |
2014 |
Villanova journal of law and investment management
DDC/LCC
|
|
551 |
12 |
1999 |
2001 |
SBIC Advisers Relief Act of 2014 : report (to accompany H.R. 4200) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
544 |
3 |
2014 |
2014 |
Strengthening Access to Valuable Education and Retirement Support Act of 2015 : report together with dissenting views (to accompany H.R. 4294) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Ways and Means,
LCC
|
|
543 |
4 |
2016 |
2016 |
Corporate Governance Reform and Transparency Act of 2017 : report together with minority views (to accompany H.R. 4015) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
541 |
3 |
2017 |
2017 |
Family Office Technical Correction Act of 2017 : report (to accompany H.R. 3972) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
538 |
3 |
2017 |
2017 |
SBIC Advisers Relief Act of 2015 : report (to accompany H.R. 432) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
529 |
3 |
2015 |
2015 |
Anlegerschutz im Wertpapiergeschäft AGB in der Kreditwirtschaft : Bankrechtstag 2010
by Bankrechtstag (2010 : Bonn, Germany)
DDC/LCC
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|
522 |
9 |
2011 |
2011 |
Department of Labor's proposed fiduciary rule : hearing before the Subcommittee on Oversight of the Committee on Ways and Means, U.S. House of Representatives, One Hundred Fourteenth Congress, first session, September 30, 2015
by United States. Congress. House. Committee on Ways and Means. Subcommittee on Oversight
LCC
|
|
515 |
4 |
2017 |
2017 |
Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
501 |
3 |
2015 |
2015 |
Investment Advisers Modernization Act of 2016 : report together with minority views (to accompany H.R. 5424) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
496 |
3 |
2016 |
2016 |
Corporate Governance Reform and Transparency Act of 2016 : report together with minority views (to accompany H.R. 5311) (including cost estimate of the Congressional Budget Office)
by United States. Congress. House. Committee on Financial Services
LCC
|
|
490 |
3 |
2016 |
2016 |