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04954aam a2200421 i 4500 001 7398B868E55411E7AFB0C42A97128E48 003 SILO 005 20171220010225 008 140203s2014 nyua b 001 0 eng 020 $a 1402421354 020 $a 9781402421358 035 $a (OCoLC)869748177 040 $a CGQ $c CGQ $e rda $d CGQ $d PQD $d UtOrBLW $d SILO 043 $a n-us--- $0 http://id.loc.gov/vocabulary/geographicAreas/n-us 245 00 $a Hedge fund compliance & regulatory challenges, 2014 / $c chair, K. Susan Grafton. 246 3 $a Hedge fund compliance and regulatory challenges, 2014 246 1 $a Previous title: $i Hedge fund registration and compliance 264 1 $a New York, NY : $b Practising Law Institute, $c [2014] 300 $a 336 pages : $b illustrations ; $c 23 cm. 490 1 $a Corporate law and practice course handbook series ; $v number B2072 505 20 $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008) / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- $t Examinations by the Securities and Exchange Commission s Office of Compliance Inspections and Examinations (February 2012) / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- $t Examination Information for Broker Dealers, Transfer Agents, Clearing Agencies, Investment Advisers, and Investment Companies / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Information for Newly Registered Investment Advisers / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- $t U.S. Securities and Exchange Commission, Office of Compliance Inspections and Examinations, Investment Adviser Examinations: Core Initial Request for Information (November 2008) / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- 505 20 $t National Futures Association, Self Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs (May 2013) / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- $t 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) / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- $t 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) / $r Jane E. Jarcho U.S. Securities and Exchange Commission -- $t National Futures Association, Self Examination Questionnaire for FCMs, FDMs, IBs, CPOs and CTAs (May 2013) / 505 20 $r Michael R. Butowsky Jones Day $t Certain Investor Related Legal and Compliance Issues for Hedge Funds (November 11, 2013) / $r K. Susan Grafton K&L Gates LLP -- $t 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) / $r K. Susan Grafton K&L Gates LLP -- $t SEC Confirmation that Fixed Income Commissions Can Satisfy the Section 28(e) Soft Dollars Safe Harbor (October 29, 2013) -- $t Questions & Answers on State and Local Variations of the SEC s Pay to Play Rule as of November 4, 2013 / $r Cary J. Meer K&L Gates LLP Diane E. Ambler K&L Gates LLP K. Susan Grafton K&L Gates LLP -- $t Certain Investor Related Legal and Compliance Issues for Hedge Funds (November 11, 2013) / $r Michael R. Butowsky Jones Day 500 $a "#50974"--Spine ; "B2072"--Spine. 500 $a Prepared for distribution at the program of the same name held New York City, January 28, 2014. 500 $a Index begins with letter C and is erratic. 504 $a Includes bibliographical references and index. 650 0 $a Hedge funds $x Law and legislation $z United States. 650 0 $a Investment advisors $x Legal status, laws, etc. $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008104882 650 0 $a Disclosure of information $x Law and legislation $z United States. $0 http://id.loc.gov/authorities/subjects/sh2008102043 610 10 $a United States. $b Securities and Exchange Commission $x Rules and practice. 650 0 $a Securities industry $x Law and legislation $z United States. $0 http://id.loc.gov/authorities/subjects/sh2010112448 700 1 $a Grafton, K. Susan, $d 1958- $e chair. $0 http://id.loc.gov/authorities/names/no2010065901 710 2 $a Practising Law Institute, $e sponsoring body. $0 http://id.loc.gov/authorities/names/n78085422 830 0 $a Corporate law and practice course handbook series ; $v no. B-2072. $0 http://id.loc.gov/authorities/names/n42008339 941 $a 1 952 $l OVUX522 $d 20171220032749.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=7398B868E55411E7AFB0C42A97128E48Initiate Another SILO Locator Search