Protecting Your Practice. Vessenes Katherine
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Название: Protecting Your Practice

Автор: Vessenes Katherine

Издательство: Автор

Жанр: Зарубежная образовательная литература

Серия:

isbn: 9780470884676

isbn:

СКАЧАТЬ Planning, Profile, undated.

17

Ibid.

18

Code of Ethics and Professional Responsibility, Certified Financial Planner Board of Standards, Inc. (1997): 8.

19

John P. Moriarty and Curtlan R. McNeily, Regulation of Financial Planners, Vol. 19, Securities Law Series (New York: Clark Boardman Callaghan, 1996), 2-6.

20

Investment Advisers Act of 1940 § 217.

21

Section 202(a)(11).

22

Section 202(a)(11)(A) through (F).

23

Section 203(b).

24

Investment Advisers Act Release No. IA-1092 (October 8, 1987).

25

Thomas P. Lemke and Gerald T. Lins, Regulation of Investment Advisers (New York: Clark Boardman Callaghan, 1996), 1-5.

26

Ibid., 1-4.

27

Investment Advisers Act Release No. IA-1092 (October 8, 1987).

28

Lemke and Lins, 1-6.

29

Ibid.

30

Eli P. Bernzweig, The Financial Planner’s Legal Guide (Englewood Cliffs, N.J.: Prentice-Hall,1986), 30.

31

Ibid.

32

Ibid., (citing SEC v. T.W. Howey Co., 328 U.S. 293 (1946)).

33

Ibid., 34.

34

Lemke and Lins, 1-8.

35

Lowe v. SEC, 472 U.S. 181 (1995).

36

Mr. Alfred A. Zurl, 1995 SEC No-Action letter; and Mr. Hugh A. Hoffman, 1995 SEC No-Action letter.

37

Investment Advisers Act Release No. 1092 (October 8, 1987).

38

Ibid.

39

Bernzweig, 35.

40

Lemke and Lins, 1-9 (citing IA Release No. 471 (1975)).

41

Bernzweig, 36 (citing FPC Securities Corp., [1974- 75 Transfer Binder] Para. 80,072, CCH Federal Securities Law Reporter (September 9, 1974)).

42

The author is grateful to John McGovern, formerly of Nathan & Lewis Securities, for providing assistance with this section.

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