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Search Criteria: FAST heading = Investment advisors--Legal status, laws, etc
Displaying 1 to 25 of 545
Title & Author Format Holdings Editions From To
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
  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
  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
Displaying 1 to 25 of 545
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