Investment Adviser Regulation: A Step-by-step Guide to Compliance and the Law (2 Vol set)

Guides you effortlessly through the maze of federal & state statutory investment adviser regulations...Steer clear of SEC problems with this easy-to-use guide to the laws and regulations governing investment advisers. Investment Adviser Regulation explains in clear, understandable language the regulation of investment advisers, offering complete guidance on the federal and state laws governing adviser conduct with particular attention to the Investment Advisers Act, the Investment Company Act, and the Employee Retirement Income Security Act (ERISA). In addition to a clear explanation of the law, Investment Adviser Regulation provides in-depth analysis of complex status questions that determine crucial registration, disclosure and liability issues; a detailed explanation of Form ADV; potential conflicts of interest; relevant SEC releases and no-action letters; and much more