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The watchdogs didn't bark : Enron and the Wall Street analysts : hearing before the Committee on Governmental Affairs, United States Senate, One Hundred Seventh Congress, second session, February 27, 2002 (S. hrg. ; 107-385)

The watchdogs didn't bark : Enron and the Wall Street analysts : hearing before the Committee on Governmental Affairs, United States Senate, One Hundred Seventh Congress, second session, February 27, 2002 (S. hrg. ; 107-385)
Microform図書
2002<YCA-Y 4.G 74/9:S.HRG.107-385>
National Diet Library
  • Subject Heading... United States Investment advisers -- United States Financial cr...

Investment advisers [microform] : oversight is inadequate for investor protection : statement of Richard L. Fogel, Assistant Comptroller General, General Government Programs, before the Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives / United States General Accounting Office (Testimony ; GAO/T-GGD-92-46)

Investment advisers [microform] : oversight is inadequate for investor protection : statement of Richard L. Fogel, Assistant Comptroller General, General Government Programs, before the Subcommittee on Telecommunications and Finance, Committee on Energy and Commerce, House of Representatives / United States General Accounting Office (Testimony ; GAO/T-GGD-92-46)
Microform図書
1992<YCA-GA 1.5/2:T-GGD-92-46>
National Diet Library
  • Subject HeadingUnited States. Securities and Exchange Commission -- Auditing Investment advisers -- United States

Transactions by exchange members for discretionary accounts : report (to accompany H.R. 3047) (including cost estimate of the Congressional Budget Office) (Report)

Transactions by exchange members for discretionary accounts : report (to accompany H.R. 3047) (including cost estimate of the Congressional Budget Office) (Report)
Microform図書
1992<YCA-Y 1.1/8:102-858>
National Diet Library
  • Subject HeadingSecurities -- United States Investment advisers -- United States

The Investment Adviser Oversight Act of 1993 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 423 (Report)

The Investment Adviser Oversight Act of 1993 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 423 (Report)
Microform図書
1992<YCA-Y 1.1/5:103-177>
National Diet Library
  • Subject HeadingInvestment advisers -- Legal status, laws, etc. -...

Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993

Investment adviser industry reform : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, first session, on H.R. 578 ... March 4, 1993
Microform図書
1993<YCA-Y 4.EN 2/3:103-16>
National Diet Library
  • Subject Heading...nge Commission Investment advisers -- Legal statu...... United States Investment advisers -- Malpractice -- United Stat...

The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266 (Report)

The Investment Adviser Oversight Act of 1992 : report of the Committee on Banking, Housing, and Urban Affairs, United States Senate, to accompany S. 2266 (Report)
Microform図書
1992<YCA-Y 1.1/5:102-312>
National Diet Library
  • Subject Heading... United States Investment advisers -- Legal status, laws, etc. -...

Investing with the best : what to look for, what to look out for in your search for a superior investment manager / Claude N. Rosenberg, Jr.

Investing with the best : what to look for, what to look out for in your search for a superior investment manager / Claude N. Rosenberg, Jr.
Paper図書
Wileyc1986.<DF199-A195>
National Diet Library
  • Subject Heading投資 (地理区分) Investment advisers. Investments.

The Wall Street gurus : how you can profit from investment newsletters / Peter Brimelow. 1st ed.

The Wall Street gurus : how you can profit from investment newsletters / Peter Brimelow. 1st ed.
Paper図書
Random Housec1986.<DF199-A197>
National Diet Library
  • Subject Heading投資 (地理区分) Investment advisers. Investment analysis.

How secure is your retirement : investments, planning, and fraud? : hearing before the Special Committee on Aging, United States Senate, One Hundred Third Congress, first session, Washington, DC, May 25, 1993 (S. hrg. ; 103-202)

How secure is your retirement : investments, planning, and fraud? : hearing before the Special Committee on Aging, United States Senate, One Hundred Third Congress, first session, Washington, DC, May 25, 1993 (S. hrg. ; 103-202)
Microform図書
1993<YCA-Y 4.AG 4:S.HRG.103-202>
National Diet Library
  • Subject Heading... United States Investment advisers -- Malpractice -- United Stat...

Investment Adviser Regulatory Enhancement and Disclosure Act of 1992 : report (to accompany H.R. 5726) (including cost estimate of the Congressional Budget Office) (Report)

Investment Adviser Regulatory Enhancement and Disclosure Act of 1992 : report (to accompany H.R. 5726) (including cost estimate of the Congressional Budget Office) (Report)
Microform図書
1992<YCA-Y 1.1/8:102-883>
National Diet Library
  • Subject HeadingInvestment advisers -- United States Supervision ...

Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992

Investment adviser industry reform : hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, second session, June 4 and 10, 1992
Microform図書
1992<YCA-Y 4.En 2/3:102-128>
National Diet Library
  • Subject Heading...nge Commission Investment advisers -- Legal status, laws, etc. -...

Investment advisers : current level of oversight puts investors at risk : report to Congressional requesters / United States General Accounting Office

Investment advisers : current level of oversight puts investors at risk : report to Congressional requesters / United States General Accounting Office
Microform図書
1990<YCA-GA 1.13:GGD-90-83>
National Diet Library
  • Subject HeadingInvestment advisers -- Legal status, laws, etc. -...

Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994

Securities regulatory equality : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Third Congress, second session, on H.R. 3447, a bill to amend the federal securities laws to equalize the regulatory treatment of participants in the securities industry, April 14, 1994
Microform図書
1994<YCA-Y 4.EN 2/3:103-106>
National Diet Library
  • Subject Heading... United States Investment advisers -- United States

Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, June 11, 1986

Investment advisers, financial planners, and customer protection : hearing before the Subcommittee on Telecommunications, Consumer Protection, and Finance of the Committee on Energy and Commerce, House of Representatives, Ninety-ninth Congress, second session, June 11, 1986
Microform図書
1986<YCA-Y 4.En 2/3:99-133>
National Diet Library
  • Subject HeadingInvestment advisers -- Legal status, laws, etc. -...

Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991

Managed accounts/section 11(a) : hearing before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred Second Congress, first session, May 14, 1991
Microform図書
1991<YCA-Y 4.En 2/3:102-38>
National Diet Library
  • Subject Heading... United States Investment advisers -- Legal status, laws, etc. -...

Investing with the best : what to look for, what to look out for in your search for a superior investment manager :acid-free paper 2nd ed

Investing with the best : what to look for, what to look out for in your search for a superior investment manager :acid-free paper 2nd ed
Paper図書
Claude N. Rosenberg, JrJ. Wiley & Sonsc1993
Other Libraries in Japan
  • Subject HeadingInvestment advisers Investments
  • Subject Heading (ID)Investment advisers Investments

The prudent investor : the definitive guide to professional investment management

The prudent investor : the definitive guide to professional investment management
Paper図書
James P. OwenProbus Pub. Co.c1990
Other Libraries in Japan
  • Subject HeadingPortfolio management Investments Investment advisers
  • Subject Heading (ID)Portfolio management Investments Investment advisers

The regulation of money managers : mutual funds and advisers : set v. 1 v. 2 v. 3 v. 4 2nd ed

The regulation of money managers : mutual funds and advisers : set v. 1 v. 2 v. 3 v. 4 2nd ed
Paper図書
Tamar Frankel, Ann Taylor SchwingAspenc2001-
Other Libraries in Japan
  • Subject HeadingMutual funds -- United States Investment advisers -- Legal status, laws, etc. -...
  • Subject Heading (ID)Mutual funds -- United States Investment advisers -- Legal status, laws, etc. -...

Investor information needs and the annual report : pbk

Investor information needs and the annual report : pbk
Paper図書
SRI InternationalFinancial Executives Research Foundationc1987
Other Libraries in Japan
  • Subject HeadingInvestment analysis Investment advisers Investments Corporation repor...
  • Subject Heading (ID)Investment analysis Investment advisers Investments Corporation repor...

Regulation of investment advisers 2000 ed

Regulation of investment advisers 2000 ed
Paper図書
by Thomas P. Lemke and Gerald T. LinsWest Groupc2000
Other Libraries in Japan
  • Subject HeadingInvestment advisers -- Legal status, laws, etc. -...
  • Subject Heading (ID)Investment advisers -- Legal status, laws, etc. -...
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