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Search Criteria: FAST heading = Investment advisors--Legal status, laws, etc.--U.S. states
Displaying 1 to 7 of 7
Title & Author Format Holdings Editions From To
The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004 by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
LCC
  449 5 2005 2005
Regulation of financial planners by Moriarty, John P.
DDC/LCC
  106 6 1991 2001
The role of state securities regulators in protecting investors : hearing before the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred Eighth Congress, second session, on efforts to enforce securities laws, investment adviser registration and licensing, state investigations into mutual fund industry abuses, and investor education programs, June 2, 2004 by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
LCC
  26 1 2005 2005
Investment advisers guide
DDC/LCC
  15 1 1989 1997
Regulation of financial planners by Lemke, Thomas P.
LCC
  14 2 2010 2010
Uniform prudent management of institutional funds act of the National Conference of Commissioners on Uniform State Laws
LCC
  11 1 2006 2006
Regulation of financial planners : a summary of principal state and federal regulations affecting financial planners rendering investment advice by Jacobs, Richard O.
DDC/LCC
  7 1 1984 1984
Displaying 1 to 7 of 7
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