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A survey of federal, state and self-regulatory (SRO) securities laws is presented as the foundation on which investment adviser compliance policies and procedures are built. The Investment Advisers Act of 1940 will be introduced, however, the day's discussion will focus on additional securities laws that pertain to investment advisers. Pertinent securities laws to be covered are the Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, and Uniform State Securities Act.
The seminar will take place on Thursday, March 22, 2007 from 8:30am - 3:30pm at the Millennium Broadway Conference Center in New York City.