This book is designed for those interested in learning the fundamentals of investment adviser regulation as set forth primarily in the Investment Advisers Act of 1940 and the rules and regulations promulgated by the Securities and Exchange Commission thereunder. In particular, it is targeted towards investment advisers and their chief compliance officers. However, those associated with mutual funds, hedge funds, private equity funds and collateralized debt obligation (CDO) funds will likely find it useful as well.


Imprint: West Academic Publishing
Series: Nutshells
Publication Date: 01/08/2008
Related Subject(s): Securities Litigation, Securities Regulation

Jeffrey J. Haas, New York Law School

Steven R. Howard

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