Investment Adviser Regulation

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

23 Pages Posted: 8 Oct 2013  

Wulf A. Kaal

University of St. Thomas, Minnesota - School of Law

Date Written: 2013

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.

Keywords: investment, securities, securities law, regulation of securities, Securities & Exchange Commission, SEC, Dodd-Frank, investment advising, investment advisers, financial regulation

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

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

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