 |
|
|
|
|
| Arbitration | Hedge Funds | Mutual Funds | Investors | Brokers | Advisers | CorpFin | IPO | Compliance | ||
| Search | News | Law | Blogs | SEC Rules | Caselaw | Bookstore | Messages | Links | ||
|
|
||||||||||
| Investment Adviser Information Center |
|
|
SPONSORING AN EVENT? If you are the sponsor of a seminar or educational event that relates to securities law, or the regulation of the markets, post the information here at the Securities Law Events Calendar. Access to the calendar is free, the posting is free, and your target audience, attorneys, brokers and investors, are here. NEW AND IMPROVED SECURITIES LAW FORUMS! Every day the discussions continue in the Securities Law Forums, where attorneys, investors, brokers, journalists and others with an interest in the markets, and the laws surrounding the markets, discuss hot topics of the day. View the active topic list, or go directly to the forums. |
Featured News, Commentary and Related Sites Featured Books:
Investment
Advisor Regulation: A Step-by-Step Guid to Compliance and the Law More
Books For Financial Advisors Featured Articles Registration and Regulation of Investment Advisers - an overview of the requirements and procedures for registration of investment advisers and hedge fund managers.
Stautes and Regulations: Investment
Adviser's Act of 1940 Rules promulgated under the Investment Advisers Act of 1940
|
Welcome!
Search the Site Securities Laws, Rules & Regulations Securities Cases Securities Law Blog Article Archives Questions? |
|
Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at astarita@beamlaw.com.
Copyright 2010. All Rights Reserved. VGIS Communications,
LLC Visit Beam
& Astarita, LLC
|
- The pressure to understand changing compliance regulations and to meet
the requirements they impose has never been more intense. A range of scandals
and abuses has caused the Securities and Exchange Commission to tighen
regulation and step up enforcement. Unfortunately, definitive compliance
information - the kind that can save advisers precious time and spare
them serious trouble - has not been easy to find. Until now. This book
gathers the information needed most and puts it all in one place. Here
advisers will find plain-English translations of the rules that regulate
such issues as: * advisory contracts and fees * advertising and client
communications * RIA compliance programs and codes of ethics * custody
of customer accounts * completing, filing, and amending Form ADV * selecting
brokers and executing trades