tailieunhanh - The Regulation of Investment Advisers by The Securities and Exchange Commission

Investor relations is the term used to describe the ongoing activity of companies communicating with the investment community. While the communication that quoted companies undertake is a mix of regulatory and voluntary activities, investor relations is essentially the part of stock market life that sees companies interacting with existing shareholders, potential investors, analysts and journalists. As this guide details, investor relations can take many forms, for example, meetings with investors, company news-releases, annual reports and websites. The commonality however, is that each of the communication tools that companies utilise are designed to inform stakeholders about the company, so that they can gain a greater understanding. | The Regulation of Investment Advisers by The Securities and Exchange Commission Robert E. Plaze Associate Director Division of Investment Management United States Securities and Exchange Commission Updated to November 22 2006 Regulation of Investment Advisers by The . Securities and Exchange Commission I. Introduction Money managers investment consultants and financial planners are regulated in the United States as investment advisers under the federal Investment Advisers Act of 1940 Advisers Act or Act or similar state statutes. This outline describes the federal regulation of investment advisers. The Advisers Act is the last in a series of federal statutes intended to eliminate abuses in the securities industry that Congress believed contributed to the stock market crash of 1929 and the depression of the 1930s. The Act is based on a congressionally mandated study of investment companies including consideration of investment counsel and investment advisory services carried out by the Securities and Exchange Commission SEC during the The SEC s report traced the history and growth of investment advisers and reflected the position that investment advisers could not properly perform their function unless all conflicts of interest between them and their clients were removed. The report stressed that a significant problem in the industry was the existence either consciously or more likely unconsciously of a prejudice by advisers in favor of their own financial interests. The SEC s report culminated in the introduction of a bill that with some changes became the Advisers Act. The Act as adopted reflects congressional recognition of the delicate fiduciary nature of the advisory relationship as well as Congress desire to eliminate or at least expose all conflicts of interest that might cause advisers either consciously or unconsciously to render advice that is not The outline that follows is divided into five sections each of which addresses a .

• Đầu tư Chứng khoán
• Therapeutic Advances
• Stereotactic Radiosurgery
• Surgical Treatment
• Eloquent Areas
• Modified Boron Neutron
• Diagnosed Glioblastoma
• Therapeutic proteins
• Protein classification
• Production of therapeutic proteins
• Pharmacokinetics of therapeutic proteins
• Protein stability
• Protein degradation
• Ghazala Hayat
• Peripheral
• Neuropathy
• Diagnostic
• Therapeutic
• Health
• Recombinant therapeutic protein
• Transient gene expression
• Different expression systems
• Recent advances
• Transient gene expression protocol
• Cell lines used
• Streptococcal Toxin
• Streptolysin S
• Anesthesia
• Elderly Women
• Urinary Incontinence
• Long Term Care
• Geriatric Urinary
• Incontinence – Special
• Frail Elderly
• Oxidative Stress
• Diagnosis and Treatment
• Current Insights
• Future Advances
• Endometriosis Diagnostics
• Imaging Tools
• Emerging Impact
• Gastroenterology
• Intestinal Microbial
• Flora – Effect
• Probiotics in Newborns
• Benefits and Challenges