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, 1986U.S. Government Printing Office, 1986 - 361 lappuses |
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abuse accounting activities advisers and financial amendments authority banks believe broker broker-dealers bull market Central Registration Depository Certified Financial Planners Chairman Chartered Financial Analysts clients committee compensation conflicts of interest CONGRESS THE LIBRARY consumer protection currently dealers disclosure enforcement ethical existing federal fee-only planners fiduciary financial planning industry financial planning services financial products financial services firms FOFP fraud funds Gordon Macklin IAFP increase individuals inspection insurance agents investment adviser laws Investment Advisers Act investment advisory industry investment counsel Investment Management investors issue legislation LIBRARY OF CONGRESS LUKEN MACKLIN membership NAPFA NASAA NASD members NASD's NIELSON persons PICCIN pilot program planners and investment practice problem profession professional proposed registered investment advisers regulation of financial regulation of investment regulatory requirements responsibility role SEC's Securities and Exchange self-regulatory organization SHAD standards statement Subcommittee tax shelter Thank tion uniform WIRTH
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34. lappuse - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
38. lappuse - Every investment adviser who makes use of the mails or of any means or instrumentality of interstate commerce in connection with his or its business as an investment adviser (other than one specifically exempted from registration pursuant to section...
34. lappuse - Treasury as necessary or appropriate in the public interest or for the protection of investors ; securities which are direct obligations of or obligations guaranteed as to principal or interest by a State or any political subdivision thereof or any agency or instrumentality of a State or any political subdivision thereof or any municipal corporate instrumentality of one or more States...
38. lappuse - Such accounts, correspondence, memoranda, papers, books, and other records shall be subject at any time or from time to time to such reasonable periodic, special, or other examinations by examiners or other representatives of the Commission as the Commission may deem necessary or appropriate in the public interest or for the protection of investors.
36. lappuse - It shall be unlawful for any member, officer, or employee of the Commission to disclose to any person other than a member, officer, or employee of the Commission, or to use for personal benefit, any information contained in any application...
286. lappuse - investment adviser" as "any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities.
34. lappuse - Sec. 202 securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities; but does not include (A) a bank...
26. lappuse - ... the publisher of any bona fide newspaper, news magazine or business or financial publication of general and regular circulation...
281. lappuse - Many forms of conduct permissible in a workaday world for those acting at arm's length, are forbidden to those bound by fiduciary ties. A trustee is held to something stricter than the morals of the market place. Not honesty alone, but the punctilio of an honor the most sensitive, is then the standard of behavior.
255. lappuse - The Investment Company Institute is the national association of the American mutual fund industry. Its membership includes 372 open-end investment companies (popularly called "mutual funds"), their investment advisers and principal underwriters.