RESEARCH HANDBOOK ON CORPORATE LAW AND GOVERNANCE, Jerry W. Markham & Rigers Gjyshi eds., Edward Elgar, 2014, Forthcoming
23 Pages Posted: 8 Oct 2013
Date Written: 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.
Keywords: investment, securities, securities law, regulation of securities, Securities & Exchange Commission, SEC, Dodd-Frank, investment advising, investment advisers, financial regulation
Suggested Citation: 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: https://ssrn.com/abstract=2337268