Investment Adviser Regulation in a Nutshell

This book is designed for those interested in learning the fundamentals of investment adviser regulation as set forth primarily in the Investment Advisers Act of 1940 and the rules and regulations promulgated by the Securities and Exchange Commission thereunder.

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Investment Adviser Regulation in a Nutshell is designed for persons interested in learning the fundamentals of regulation set forth primarily in the Investment Advisers Act of 1940 and the Securities and Exchange Commission rules and regulations. In particular, this book is targeted toward investment advisers and their chief compliance officers. However, those associated with mutual funds, hedge funds, private equity funds, and collateralized debt obligation funds will find it useful as well.