Investment Adviser Regulation in a Nutshell

Authors: Haas, Jeffrey J. / Howard, Steven R.
Edition: 1st
Copyright Date: 2008
  • Publication Date: January 8th, 2008
  • ISBN: 9780314172655
  • Subject: Banking/Financial Institutions
  • Series: Nutshells
  • Type: Overviews
  • Description: Investment Adviser Regulation in a Nutshell is designed for persons interested in learning the fundamentals of regulation set forth primarily in the Investment Advisers Act of 1940 and the Securities and Exchange Commission rules and regulations. In particular, this book is targeted toward investment advisers and their chief compliance officers. However, those associated with mutual funds, hedge funds, private equity funds, and collateralized debt obligation funds will find it useful as well.