Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992.

Family Office Technical Correction Act of 2017 : report (to accompany H.R. 3972) (including cost estimate of the Congressional Budget Office).
Published: (2017)

Investment advisers act amendments of 1976 : hearings before the Subcommittee on Securities of the Committee on Banking, Housing and Urban Affairs, United States Senate, Ninety-fourth Congress, second session, on S. 2849 ... February 3 and 4, 1976.
Published: (1976)

Private Fund Investment Advisers Registration Act of 2009 : report (to accompany H.R. 3818) (including cost estimate of the Congressional Budget Office).
Published: (2010)

H.R. 4624, the Investment Adviser Oversight Act of 2012 : hearing before the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, June 6, 2012.
Published: (2013)

The new fiduciary standard : the 27 prudent investment practices for financial advisers, trustees, and plan sponsors /
by: Hatton, Tim, 1963-
Published: (2005)

The EU's MiFID II, broker research, and the SEC's no-action letters /
by: Shorter, Gary W.
Published: (2023)

Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, June 11, 1986.
Published: (1987)

Investment Advisers Modernization Act of 2016 : report together with minority views (to accompany H.R. 5424) (including cost estimate of the Congressional Budget Office).
Published: (2016)

Retail Investor Protection Act : report together with minority views (to accompany H.R. 2374) (including cost estimate of the Congressional Budget Office).
Published: (2013)

Retail Investor Protection Act : report together with minority views (to accompany H.R. 1090) (including cost estimate of the Congressional Budget Office).
Published: (2015)

The financial planner's legal guide /
by: Bernzweig, Eli P.
Published: (1986)

Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991.
Published: (1991)

Investment advisers : requirements and costs associated with the custody rule : report to congressional committees.
Published: (2013)

SBIC Advisers Relief Act of 2015 : report (to accompany H.R. 432) (including cost estimate of the Congressional Budget Office).
Published: (2015)

Inspection report on the soft dollar practices of broker-dealers, investment advisers and mutual funds.
Published: (1998)

Additional reforms to the Securities Investor Protection Act : hearing before the Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Eleventh Congress, first session, December 9, 2009.
Published: (2010)

Investment management regulation /
by: Frankel, Tamar
Published: (1998)

Protecting your practice /
by: Vessenes, Katherine
Published: (1997)

SBIC Advisers Relief Act of 2014 : report (to accompany H.R. 4200) (including cost estimate of the Congressional Budget Office).
Published: (2014)

Investment company act of 1940 as in effect June 4, 1977.

The RIA's compliance solution book : answers for the critical questions /
by: Demby, Elayne Robertson, 1962-
Published: (2006)

Investment Company Amendments Act of 1969 : hearings before the United States Senate Committee on Banking and Currency, Ninety-First Congress, first session, on Apr. 15, 17, 18, 1969.
Published: (1969)

The law of investment management /
by: Bines, Harvey E.
Published: (1978)

Building your multi-million-dollar practice : 8 success strategies of top producing advisors /
by: Vessenes, Peter
Published: (2005)

Your clients for life : the definitive guide to becoming a successful financial life planner /
by: Anthony, Mitch
Published: (2002)

Attract and retain the affluent investor : winning tactics for today's financial advisor /
by: Gresham, Stephen D.
Published: (2001)

In search of the perfect model : the distinctive business strategies of leading financial planners /
by: Rowland, Mary
Published: (2004)

Making referral relationships pay : a complete guide to revenue-sharing partnerships for financial advisers and CPAs /
by: Grady, Thomas, 1949-
Published: (2006)

The Securities Investor Protection Corporation : past, present, and future : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, March 7, 2012.
Published: (2012)

The Value Investors : Lessons from the World's Top Fund Managers /
by: Chan, Ronald W.
Published: (2012)

Small Business Capital Access and Job Preservation Act : report together with minority views (to accompany H.R. 1082) (including cost estimate of the Congressional Budget Office).
Published: (2011)

Small Business Capital Access and Job Preservation Act : report together with minority views (to accompany H.R. 1105) (including cost estimate of the Congressional Budget Office).
Published: (2013)

Ensuring appropriate regulatory oversight of broker-dealers and legislative proposals to improve investment adviser oversight : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, first session, September 13, 2011.
Published: (2012)

The impact of the Dodd-Frank Act on municipal finance : hearing before the Subcommittee on Capital Markets and Government Sponsored Enterprises of the Committee on Financial Services, U.S. House of Representatives, One Hundred Twelfth Congress, second session, July 20, 2012.
Published: (2012)

Building a world-class financial services business : how to transform your sales practice into a company worth millions /
by: Schreiber, Don
Published: (2001)

The million-dollar financial services practice : a proven system for becoming a top producer /
by: Mullen, David J., Jr
Published: (2008)