Investment Adviser Regulation
Wulf A. Kaal
University of St. Thomas, Minnesota - School of Law; European Corporate Governance Institute (ECGI)
RESEARCH HANDBOOK ON CORPORATE LAW AND GOVERNANCE, Jerry W. Markham & Rigers Gjyshi eds., Edward Elgar, 2014, Forthcoming
U of St. Thomas (Minnesota) Legal Studies Research Paper No. 13-32
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.
Number of Pages in PDF File: 23
Keywords: investment, securities, securities law, regulation of securities, Securities & Exchange Commission, SEC, Dodd-Frank, investment advising, investment advisers, financial regulationAccepted Paper Series
Date posted: October 8, 2013
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