"#50974"--Spine ; "B2072"--Spine. Prepared for distribution at the program of the same name held New York City, January 28, 2014. Index begins with letter C and is erratic. Includes bibliographical references and index.
Contents:
U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008) / Jane E. Jarcho U.S. Securities and Exchange Commission -- Examinations by the Securities and Exchange Commission s Office of Compliance Inspections and Examinations (February 2012) / Jane E. Jarcho U.S. Securities and Exchange Commission -- Examination Information for Broker Dealers, Transfer Agents, Clearing Agencies, Investment Advisers, and Investment Companies / Jane E. Jarcho U.S. Securities and Exchange Commission -- U.S. Securities and Exchange Commission, Information for Newly Registered Investment Advisers / Jane E. Jarcho U.S. Securities and Exchange Commission -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008) / Jane E. Jarcho U.S. Securities and Exchange Commission -- National Futures Association, Self Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs (May 2013) / Jane E. Jarcho U.S. Securities and Exchange Commission -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Vol. III, Issue 1, Significant Deficiencies Involving Adviser Custody and Safety of Client Assets (March 4, 2013) / Jane E. Jarcho U.S. Securities and Exchange Commission -- Norm Champ, Director, Division of Investment Management, U.S. Securities and Exchange Commission, Speech at PLI s Hedge Fund Management 2013, Current SEC Priorities Regarding Hedge Fund Managers (September 12, 2013) / Jane E. Jarcho U.S. Securities and Exchange Commission -- National Futures Association, Self Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs (May 2013) / Michael R. Butowsky Jones Day Certain Investor Related Legal and Compliance Issues for Hedge Funds (November 11, 2013) / K. Susan Grafton K&L Gates LLP -- U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Vol. III, Issue 4, Rule 105 of Regulation M: Short Selling in Connection with a Public Offering (September 17, 2013) / K. Susan Grafton K&L Gates LLP -- SEC Confirmation that Fixed Income Commissions Can Satisfy the Section 28(e) Soft Dollars Safe Harbor (October 29, 2013) -- Questions & Answers on State and Local Variations of the SEC s Pay to Play Rule as of November 4, 2013 / Cary J. Meer K&L Gates LLP Diane E. Ambler K&L Gates LLP K. Susan Grafton K&L Gates LLP -- Certain Investor Related Legal and Compliance Issues for Hedge Funds (November 11, 2013) / Michael R. Butowsky Jones Day
Series:
Corporate law and practice course handbook series ; number B2072
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