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- 2013019636 contributor B12726374.
- 2013019636 contributor B12726375.
- 2013019636 date "2013".
- 2013019636 description "Includes bibliographical references and index.".
- 2013019636 description "Maintaining SEC registration and related filings -- Marketing advisory services -- Establishing and maintaining the client relationship -- Managing client accounts -- Compliance oversight -- Private funds, and specialty products -- Recordkeeping requirements -- SEC compliance examinations.".
- 2013019636 extent "volumes (loose-leaf) :".
- 2013019636 identifier "9781454838494 (loose-leaf : alk. paper)".
- 2013019636 issued "2013".
- 2013019636 language "eng".
- 2013019636 relation "Investment adviser's legal and compliance guide".
- 2013019636 replaces "Investment adviser's legal and compliance guide".
- 2013019636 spatial "United States.".
- 2013019636 subject "346.73/092 23".
- 2013019636 subject "Financial services industry Law and legislation United States.".
- 2013019636 subject "Investment advisors Legal status, laws, etc. United States.".
- 2013019636 subject "Investment advisors Professional ethics United States.".
- 2013019636 subject "KF1072 .O462".
- 2013019636 tableOfContents "Maintaining SEC registration and related filings -- Marketing advisory services -- Establishing and maintaining the client relationship -- Managing client accounts -- Compliance oversight -- Private funds, and specialty products -- Recordkeeping requirements -- SEC compliance examinations.".
- 2013019636 title "Investment adviser's legal and compliance guide / Terrance J. O'Malley, John H. Walsh.".
- 2013019636 type "text".