Abstract

http://ssrn.com/abstract=2337268
 


 



Investment Adviser Regulation


Wulf A. Kaal


University of St. Thomas, Minnesota - School of Law; European Corporate Governance Institute (ECGI)

2013

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

Abstract:     
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 regulation

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Date posted: October 8, 2013  

Suggested Citation

Kaal , Wulf A., Investment Adviser Regulation (2013). 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. Available at SSRN: http://ssrn.com/abstract=2337268

Contact Information

Wulf A. Kaal (Contact Author)
University of St. Thomas, Minnesota - School of Law ( email )
MSL 400, 1000 La Salle Avenue
Minneapolis, MN Minnesota 55403-2005
United States

European Corporate Governance Institute (ECGI) ( email )
c/o ECARES ULB CP 114
B-1050 Brussels
Belgium
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