Investment Adviser Regulation
Wulf A. Kaal · 2013
The Dodd-Frank Act and SEC implementation rules have changed investment adviser regulation. This book chapter summarizes the most pertinent rules for investment advisers, emphasizes recent changes in the law, and shows how the updated rules have been implemented into the existing regulatory framework for investment advisers.
Cite: Wulf A. Kaal, Investment Adviser Regulation (2013). SSRN: https://ssrn.com/abstract=2337268. https://doi.org/10.4337/9781782540076.00013
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