Money Manager's Compliance Guide, Volume 5Thompson Publishing Group, 1994 - Investment advisors |
From inside the book
87 pages matching Money Manager's Compliance in this book
Where's the rest of this book?
Results 1-3 of 87
Other editions - View all
Common terms and phrases
According addition address changes adviser's Advisers Act advisory amended rule annual Arthur Levitt broker broker-dealer Butowsky clients costs Counsel custodian disclose disclosure e-mail EDGAR Editor electronic ERISA euro Exchange Commission exemptive fees filers firms fund directors fund's fund's board independent directors institutional Internet investment adviser Investment Company Act Investment Company Institute Investment Management investors IPOs issuer issues Jonathan Katz Kirkpatrick & Lockhart knowledgeable employee L.L.P. Thomas letter Levitt Lockhart Ronald H Manager's Compliance Guide ment Monetta Money Manager's Compliance Monthly Bulletin mutual fund NASAA NASD NASDR Neuberger Berman no-action OppenheimerFunds Partner percent performance person plaintiff portfolio prohibited proposed rule prospectus proxy Regulation release repo SEC staff Section Securities and Exchange Senior Vice President shareholders shares sion soft dollar statement subscription Thompson Publishing Group tion trading transactions vestment viser