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Regulation of Money Managers, 3rd Edition (1-year Online Subscription)

Regulation of Money Managers, 3rd Edition (1-year Online Subscription)

Author: Tamar Frankel; Ann Taylor Schwing
Publisher: Wolters Kluwer Legal & Regulatory U.S. (Online)
ISBN: 10071647
Published In: Subscription-type (Contents updated periodically)
Format: Online , 4330 pages
Jurisdiction: U.S. ? Disclaimer:
Countri(es) stated herein are used as reference only

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Contents

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Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Third Edition provides unsurpassed guidance for legal counsel in the field.

Newly revised in a four-volume looseleaf format, The Regulation of Money Managers, Third Edition keeps you up-to-date with all significant new and proposed SEC rules, no-action letters, and interpretive releases, as well as important cases and relevant regulation from other agencies. The Third Edition adds three new chapters on compliance, exchange-traded funds, and the extraterritorial regulation of investment advisers and investment companies.

Among the other significant topics and developments covered, you'll find:

Relevant developments under the Dodd-Frank and the JOBS Acts
Insider trading
What constitutes "financial advice" in the employer/employee relationship
The structure and organization of investment companies
The Gramm-Leach-Bliley Act of 1999
The U.S.A. Patriot Act
Conditions under which foreign investment companies may offer their securities in the United States
Governance issues
The SEC's rules and regulations implementing legislation that divided the responsibilities of regulating advisers among the states and the commission
Discount brokerage services
Internet trading issues
Conflicts of interest
Money market funds and exchange-traded funds
How to avoid Federal Reserve Board jurisdiction
Custody of clients' funds
Stock appreciation rights

If your practice involves the management of investments or investment companies, you'll find discussion of relevant subjects and development in this authoritative and comprehensive resource.