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The Implications of "Regulation Best Interest: The Broker-Dealer Standard of Conduct" in an Increasingly Regulated Industry.
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- Journal of Corporation Law, 2020, v. 46, n. 1, p. 263
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- Article
The Supreme Court's Theory of the Fund.
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- Journal of Corporation Law, 2012, v. 37, n. 4, p. 771
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- Article
THE APPLICABILITY OF THE INVESTMENT ADVISERS ACT OF 1940 TO FINANCIAL AND INVESTMENT RELATED PUBLICATIONS.
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- Journal of Corporation Law, 1979, v. 5, n. 1, p. 55
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- Article
How to prepare for, and survive, an SEC inspection.
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- Journal of Securities Law, Regulation & Compliance, 2008, v. 2, n. 1, p. 87
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- Article
In Whose Best Interests? Regulating Financial Advisers, the Royal Commission and the Dilemma of Reform.
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- Sydney Law Review, 2020, v. 42, n. 1, p. 37
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- Article
GETTING BACK TO THE PURPOSE: ANALYZING JONES V. HARRIS ASSOCIATES L.P. IN LIGHT OF SECTION 1(B) OF THE INVESTMENT COMPANY ACT.
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- Marquette Law Review, 2010, v. 94, n. 2, p. 679
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- Article
New Guidance on Other-Than-Temporary Impairment, Proposals on Shareholder Rights, Funds Controlled by Advisors.
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- Bank Accounting & Finance (08943958), 2009, v. 22, n. 5, p. 43
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- Article
Retail Client's Satisfaction With Investment Advice. Is MiFID II a Desired Regulation?
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- Management Issues / Problemy Zarządzania, 2018, v. 16, n. 2, p. 131, doi. 10.7172/1644-9584.74.7
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- Article
Investment Advisory Services Under ERISA.
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- CPA Journal, 2000, v. 70, n. 9, p. 43
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- Article
New legislation means some relief for investment advisers.
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- CPA Journal, 1997, v. 67, n. 6, p. 65
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- Article
JONES V. HARRIS: A FRESH APPROACH TO THE GARTENBERG STANDARD.
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- Delaware Journal of Corporate Law, 2010, v. 35, n. 3, p. 959
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- Article
TRUST AND THE REFORM OF SECURITIES REGULATION.
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- Delaware Journal of Corporate Law, 2010, v. 35, n. 3, p. 829
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- Article
Advisors Involved in Financial Planning.
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- CPA Journal, 2016, v. 86, n. 9, p. 66
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- Article
401(k) Plan Design Trends and Insights.
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- CPA Journal, 2016, v. 86, n. 3, p. 62
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- Article
Tax & Accounting Update.
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- CPA Journal, 2015, v. 85, n. 1, p. 18
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- Article
ARE ROBOTS GOOD FIDUCIARIES? REGULATING ROBO-ADVISORS UNDER THE INVESTMENT ADVISERS ACT OF 1940.
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- Columbia Law Review, 2017, v. 117, n. 6, p. 1543
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- Article
ESCAPING ENTITY-CENTRISM IN FINANCIAL SERVICES REGULATION.
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- Columbia Law Review, 2013, v. 113, n. 8, p. 2039
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- Article
Conflicts & Capital Allocation.
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- Ohio State Law Journal, 2017, v. 78, n. 1, p. 181
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- Article
PROVIDING EQUAL INVESTMENT OPPORTUNITY VIA SECURITIES EXCHANGE ACT SECTION 13(F).
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- Connecticut Law Review, 2013, v. 46, n. 2, p. 763
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- Article
The Responsibility of the Broker-Dealer to the Investing Public (Book).
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- American Business Law Journal, 1976, v. 13, n. 3, p. 371, doi. 10.1111/j.1744-1714.1975.tb01429.x
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- Article
Why the SEC's First Attempt at Hedge Fund Adviser Registration Failed.
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- Journal of Alternative Investments, 2006, v. 9, n. 3, p. 89, doi. 10.3905/jai.2006.670102
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- Article
An Introduction to the Investment Advisers Act of 1940.
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- Journal of Alternative Investments, 2005, v. 7, n. 4, p. 92, doi. 10.3905/jai.2005.491504
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- Article
Resolving the Conflict Between Fiduciary Duties and Socially Responsible Investing.
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- Pace Law Review, 2014, v. 35, n. 2, p. 535
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- Article
SELLING ADVICE AND CREATING EXPECTATIONS: WHY BROKERS SHOULD BE FIDUCIARIES.
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- Washington Law Review, 2012, v. 87, n. 3, p. 707
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- Article
The nature of a financial investment intermediary's duty to his client.
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- Legal Studies, 2008, v. 28, n. 2, p. 254, doi. 10.1111/j.1748-121X.2008.00087.x
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- Article
Protecting Older Adults from Financial Exploitation: Proposed Federal Laws and Regulations.
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- Tennessee Bar Journal, 2016, v. 52, n. 6, p. 26
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- Article
BROKER-DEALERS AND INVESTMENT ADVISERS: A BEHAVIORAL-ECONOMICS ANALYSIS OF COMPETING SUGGESTIONS FOR REFORM.
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- Michigan Law Review, 2015, v. 113, n. 3, p. 429
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- Article
THE FLAWED STATE OF BROKER-DEALER REGULATION AND THE CASE FOR AN AUTHENTIC FEDERAL FIDUCIARY STANDARD FOR BROKER-DEALERS.
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- Fordham Journal of Corporate & Financial Law, 2011, v. 16, n. 1, p. 203
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- Article
PRUNING THE HEDGE: WHO IS A "CLIENT" AND WHOM DOES AN ADVISER ADVISE?
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- Fordham Journal of Corporate & Financial Law, 2007, v. 12, n. 5, p. 913
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- Article
THE FUTURE OF MARKETING NON-EU ALTERNATIVE INVESTMENT FUNDS IN EUROPE.
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- Banking Law Journal, 2014, v. 131, n. 3, p. 259
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THE NOT SO REMOTE RISKS OF RECOMMENDATIONS.
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- Banking Law Journal, 2013, v. 130, n. 2, p. 129
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- Article
Do I HAVE A BRIDGE FOR YOU: FIDUCIARY DUTIES AND INVESTMENT ADVICE.
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- University of Pennsylvania Journal of Business Law, 2014, v. 17, n. 1, p. 101
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- Article
Free Advice.
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- 1999
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- Letter
Untangling the wrap-free rules.
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- Financial Executive, 1994, v. 10, n. 3, p. 33
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- Article
Robo-Advisers Jumping on the Bandwagon: Yet Another Cry for a Uniform Standard.
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- North Carolina Law Review, 2019, v. 97, n. 3, p. 673
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- Article
CROWDFUNDING WITHOUT THE CROWD.
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- North Carolina Law Review, 2017, v. 95, n. 5, p. 1481
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- Article
Alpha Duties: The Search for Excess Returns and Appropriate Fiduciary Duties.
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- Texas Law Review, 2019, v. 97, n. 3, p. 445
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- Article
LA DIRECTIVA AIFMD Y SU TRANSPOSICIÓN EN ESPAÑA.
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- Actualidad Jurídica (1578-956X), 2013, n. 35, p. 149
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- Article
SPOTIFY'S DIRECT LISTING: IS IT A RECIPE FOR GATEKEEPER FAILURE?
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- SMU Law Review, 2019, v. 72, n. 1, p. 177
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- Article
ARE HEDGE FUNDS STILL PRIVATE? EXPLORING PUBLICNESS IN THE FACE OF INCOHERENCY.
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- SMU Law Review, 2016, v. 69, n. 2, p. 405
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- Article
THE FAMILY OFFICE EXCLUSION UNDER THE INVESTMENT ADVISERS ACT OF 1940.
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- SMU Law Review, 2016, v. 69, n. 1, p. 97
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- Article
REFLECTIONS ON THE SECURITIES BROKER AS A FIDUCIARY.
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- SMU Law Review, 2015, v. 68, n. 3, p. 845
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- Article
A LONG/SHORT INCENTIVE SCHEME FOR PROXY ADVISORY FIRMS.
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- Wake Forest Law Review, 2018, v. 53, n. 5, p. 787
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- Article
CRACKING THE PROBLEM OF FINDERS—AN EMPIRICAL AND COMPUTATIONAL ANALYSIS.
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- Wake Forest Law Review, 2016, v. 51, n. 5, p. 1021
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- Article
THIRD-PARTY INSTITUTIONAL PROXY ADVISORS: CONFLICTS OF INTEREST AND ROADS TO REFORM.
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- University of Michigan Journal of Law Reform, 2018, v. 51, n. 3, p. 621, doi. 10.36646/mjlr.51.3.third-party
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- Article
Supreme Court to Assess Mutual Fund Fees.
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- Journal of Financial Planning, 2009, v. 22, n. 10, p. 10
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- Article
The Financial Planning Act of 2008.
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- Journal of Financial Planning, 2008, v. 21, n. 10, p. 78
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- Article
Electronic Document Storage: Separating Compliance Reality from Rumors.
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- Journal of Financial Planning, 2007, v. 20, p. 6
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- Article
Court Sides with FPA on B/D Rule Decision; CFP Board Clarifies Ethics Code.
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- Journal of Financial Planning, 2007, v. 20, p. 5
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- Article
The Who's In/Who's Out Game.
- Published in:
- Journal of Financial Planning, 2001, v. 14, n. 7, p. 26
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- Article