Investment Advisers: Law & Compliance

ebook ∣ Volume 1 · Investment Advisers: Law & Compliance (1)

By James E. Anderson

cover image of Investment Advisers: Law & Compliance

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Format

ebook

Series

Investment Advisers: Law & Compliance (1)

Author

James E. Anderson

Publisher

LexisNexis

Release

20 November 2024

Share

Subjects

National Securities Law Deskbook

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A clear compliance and practice guide that explains and interprets the Investment Advisers Act plus the entire SEC (Securities Exchange Commission) angle of intricate rulemaking, interpretive releases, and enforcement actions aimed at filling its gaps.

Written especially for practitioners, Investment Advisers: Law & Compliance covers:

  • Who is an "investment adviser" and subject to the Act - and who is not covered
  • Registration procedures for investment advisers, including a detailed review of Form ADV
  • What advisers are allowed to say - and what they must say - to current and prospective clients
  • How the Act regulates solicitation and referral arrangements, advertising, and Internet activities
  • Full text of the 1940 Act and Rules promulgated thereunder

    Two volumes; updated with revisions.

    • Format

    ebook

    Series

    Investment Advisers: Law & Compliance (1)

    Author

    James E. Anderson

    Publisher

    LexisNexis

    Release

    20 November 2024

    Share

    Subjects

    National Securities Law Deskbook
    Investment Advisers: Law & Compliance