Publisher's Synopsis
Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Second Edition provides unsurpassed guidance for legal counsel in the field.
Newly revised and now in a looseleaf format, The Regulation of Money Managers, Second 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. Among the crucial topics and developments covered, you'll find:
- Insider trading
- What constitutes "financial advice" in the employer/employee relationship
- The Sarbanes-Oxley Act
- 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
- How to avoid Federal Reserve Board jurisdiction
- Custody of clients' funds
- Stock appreciation rights
