Regulation of Money Managers

Widely regarded as the most comprehensive and penetrating analysis of the regulation surrounding investment advisers and companies, The Regulation of Money Managers, Third Edition provides unsurpassed guidance for legal counsel in the field. Newly revised in a four-volume looseleaf format, The Regulation of Money Managers, Third 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. The Third Edition adds three new chapters on compliance, exchange-traded funds, and the extraterritorial regulation of investment advisers and investment companies. Among the other significant topics and developments covered, you'll find: - Relevant developments under the Dodd-Frank and the JOBS Acts
- Insider trading
- What constitutes andquot;financial adviceandquot; in the employer/employee relationship
- 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 and exchange-traded funds
- How to avoid Federal Reserve Board jurisdiction
- Custody of clients' funds
- Stock appreciation rights
If your practice involves the management of investments or investment companies, you'll find discussion of relevant subjects and development in this authoritative and comprehensive resource.