An edition of The regulation of money managers
(1978)
The regulation of money managers
mutual funds and advisers
Third edition.
by Tamar Frankel
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Subjects
Investment advisors, Law and legislation, Mutual funds, Legal status, laws, Finance, Law, united statesPlaces
United StatesShowing 9 featured editions. View all 9 editions?
| Edition | Availability |
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1
The regulation of money managers: mutual funds and advisers
2016, Wolters Kluwer, Wolters Kluwer Law & Business, Aspen Publishers
in English
- Third edition.
145487063X 9781454870630
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2
The regulation of money managers: mutual funds and advisers
2001, Aspen Law & Business
in English
- 2nd ed.
0735518459 9780735518452
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3
Regulation of Money Managers: Mutual Funds and Advisers (4 Volume Set)
December 2000, Aspen Law & Business Publishers
Hardcover
in English
- 2 Sup edition
0735518459 9780735518452
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4
The Regulation of Money Managers: The Investment Company Act and the Investment Advisers Act
June 1998, Aspen Law & Business Publishers
Hardcover
in English
0316291900 9780316291903
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5
Regulation of Money Managers
1980, Little, Brown Book Group Limited
in English
0316291935 9780316291934
|
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6
Regulation of Money Managers
1980, Little, Brown Book Group Limited
in English
0316291943 9780316291941
|
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7
Regulation of Money Managers
1978, Little, Brown Book Group Limited
in English
0316291919 9780316291910
|
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8
Regulation of Money Managers
1978, Little, Brown Book Group Limited
in English
0316291927 9780316291927
|
zzzz
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9
The regulation of money managers: the Investment company act and the Investment advisers act
1978, Little, Brown
in English
0316291978 9780316291972
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Book Details
Table of Contents
Introduction
General SEC powers to exempt
Definition of "investment adviser" under the Investment advisers Act
Investment advisers under the investment Company Act of 1940
Definition of an investment company
Companies excepted from the definition of an investment company
Exemptions of issuers from the 1940 act
Insider relationships
Directors, officers, members of the advisory board, depositors, and custodians
Qualification and disqualification of money managers
Fraud under the advisers act
The relationship between client and adviser : the contract
Investment advisers and money managers are fiduciaries
Duty of loyalty
Fiduciaries dealing as agents : unlawful benefits
Duty of care
Custody of clients' funds
Books and records
Introducing investment companies
Investment companies as institutional investors
Organizing investment companies
Operating investment companies
Reorganizing investment companies
Registering investment companies
Distribution of investment companies' securities
Investment company redemption, repurchase and exchange of shares
Distribution of investment companies, securities, sales organizations
Periodic payment plan certificates
Unit investment trusts
Face-amount certificate companies
Regulation of other companies classified in the act
Reporting, books, and records
SEC enforcement
Enforcement: private parties
Extraterritoriality.
Edition Notes
Includes bibliographical references and index.
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History
- Created September 21, 2020
- 4 revisions
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| December 14, 2023 | Edited by ImportBot | import existing book |
| March 20, 2023 | Edited by ImportBot | import existing book |
| January 17, 2023 | Edited by ImportBot | import existing book |
| September 21, 2020 | Created by MARC Bot | Imported from Library of Congress MARC record |