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Showing 1 - 25 of 38 Results


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Advanced Swaps & Other Derivatives 2018

Handbook  Course Handbook

Course Handbook from the program Advanced Swaps & Other Derivatives 2018, held October 2018.

Applying ERISA Fiduciary Rules to Health Plans, Services and Products 2019

Handbook  Course Handbook

Course Handbook from the program Applying ERISA Fiduciary Rules to Health Plans, Services and Products 2019, held January 2019.

Basics of Mutual Funds and Other Registered Investment Companies 2018

Handbook  Course Handbook

Course Handbook from the program Basics of Mutual Funds and Other Registered Investment Companies 2018, held May 2018.

Broker-Dealer Regulation (Second Edition)

Treatise  Treatise

Published: November 2011
Last Updated: September 2018

Updated to ensure coverage of the latest laws and regulations governing broker-dealers, the second edition of Broker-Dealer Regulation provides comprehensive and practical overview of the many requirements of this highly regulated area. This two-volume work instructs on how brokerage firms can satisfy SEC/SRO standards, with detailed coverage of: Registration reporting and record-keeping rules Suitability and best execution standards ...

Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants

Handbook  Course Handbook

Course Handbook from the program Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, held February 2018.

Fiduciary Investment Advice 2018

Handbook  Course Handbook

Course Handbook from the program Fiduciary Investment Advice 2018, held May 2018.

Fundamentals of Broker-Dealer Regulation 2018

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Broker-Dealer Regulation 2018, held July 2018.

Fundamentals of Investment Adviser Regulation 2018

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Investment Adviser Regulation 2018, held June 2018.

Fundamentals of Swaps & Other Derivatives 2018

Handbook  Course Handbook

Course Handbook from the program Fundamentals of Swaps & Other Derivatives 2018, held October 2018.

Fund Finance 2019

Handbook  Course Handbook

Global Capital Markets & the U.S. Securities Laws 2018

Handbook  Course Handbook

Course Handbook from the program Global Capital Markets & the U.S. Securities Laws 2018, held April 2018.

Global Investment Funds 2018

Handbook  Course Handbook

Global Investment Funds 2019

Handbook  Course Handbook

Hedge Fund Management 2018

Handbook  Course Handbook

Course Handbook from the program Hedge Fund Management 2018, held September 2018.

Hedge Fund Management 2019

Handbook  Course Handbook

Hedge Fund Regulation (2nd Edition)

Treatise  Treatise

Published: November 2012
Last Updated: October 2018

Covering one of the most dynamic and rapidly changing sectors of the asset management industry, Hedge Fund Regulation, is designed to provide comprehensive understanding of hedge funds, from their history and investment strategies to the legal and compliance considerations affecting their structuring, management and market activities. It provides a single source that examines all aspects of these innovative investment vehicles and addresses current ...

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