Investment Management Regulation: An Introduction to Principles and Practice

Franco, 1st Ed.

ISBN-13: 978-1611637175

ISBN-10: 1611637171

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B

Burks v. Lasker
441 U.S. 471 (1979)

C

Chamber of Commerce of the United States of America v. Securities and Exchange Commission
412 F.3d 133 (2005)

F

Financial Planning Association v. Securities and Exchange Commission
482 F.3d 481 (2007)

G

Green v. Fund Asset Management, L.P.
286 F.3d 682 (2002)

I

In the Matter of Account Management Corporation
Investment Advisers Act Release No. 1529 (1995)
In the Matter of Alpha Fiduciary, Inc.
Investment Advisers Act Release No. 4283 (2015)
In the Matter of Back Bay Advisors, L.P.
Investment Advisers Act Release No. 2070 (2002)
In the Matter of BlackRock Advisors, LLC
Investment Advisers Act Release No. 4065 (2015)
In the Matter of Blackstreet Capital Management, LLC
Investment Advisers Act Release No. 4411 (2016)
In the Matter of Charles Schwab Investment Management
Investment Company Act Release No. 29552 (2011)
In the Matter of Clarke Lanzen Skalla Investment Firm, Inc.
Investment Advisers Act Release No. 1501 (1995)
In the Matter of Edward D. Jones & Co., L.P.
Exchange Act Release No. 50910 (2004)
In the Matter of Fidelity Management & Research Company
Investment Advisers Act Release No. 2713 (2008)
In the Matter of Hennessee Group LLC
Investment Advisers Act Release No. 2871 (2009)
In the Matter of Invesco Funds Group, Inc.
Investment Company Act Release No. 26629 (2004)
In the Matter of J. Kenneth Alderman, CPA
Investment Company Act Release No. 30557 (2013)
In the Matter of Lincolnshire Management, Inc.
Investment Advisers Act Release No. 3927 (2014)
In the Matter of Michael T. Jackson
Investment Advisers Act Release No. 2374 (2005)
In the Matter of Mitchell Hutchins Asset Management Inc.
Investment Company Act Release No. 22805 (1997)
In the Matter of New York Life Investment Management LLC
Investment Company Act Release No. 28747 (2009)
In the Matter of Noonan Capital Management, LLC
Investment Advisers Act Release No. 3609 (2013)
In the Matter of Northern Lights Compliance Services, LLC
Investment Company Act Release No. 30502 (2013)
In the Matter of Oppenheimer Asset Management, Inc.
Investment Advisers Act Release No. 3566 (2013)
In the Matter of Ronald V. Speaker
Investment Company Act Release No. 22461 (1997)
In the Matter of Structured Portfolio Management, L.L.C.
Investment Advisers Act Release No. 3906 (2014)
In the Matter of UBS Global Asset Management (Americas) Inc.
Investment Company Act Release No. 29920 (2012)
In the Matter of Van Kampen Investment Advisory Corp.
Investment Company Act Release No. 23996 (1999)

J

Janus Capital Group, Inc. v. First Derivative Traders
564 U.S. 135 (2011)
Jones v. Harris Associates L.P.
559 U.S. 335 (2010)

L

Lowe v. SEC
472 U.S. 181, 105 S.Ct. 2557, 86 L.Ed.2d 130 (1985)

N

Navellier v. Sletten
262 F.3d 923 (2001)

O

Olkey v. Hyperion 1999 Term Trust, Inc.
98 F.3d 2 (1996)

P

Prudential Insurance Company v. Securities and Exchange Commission
326 F.2d 383 (1964)

S

Securities and Exchange Commission v. Talley Industries, Inc.
399 F.2d 396 (1968)
SEC v. Capital Gains Research Bureau, Inc.
375 U.S. 180, 84 S.Ct. 275, 11 L.Ed.2d 237 (1963)
SEC v. National Presto Industries, Inc.
486 F.3d 305 (2007)

T

Transamerica Mortgage Advisors v. Lewis
444 U.S. 11 (1979)

U

United States v. Ostrander
999 F.2d 27 (1993)

Y

Yahoo! Inc.: Notice of Application
Investment Company Act Release No. 24459 (2000)

Z

ZPR Investment Management Inc. v. Securities and Exchange Commission
861 F.3d 1239 (2017)

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Investment Management Regulation: An Introduction to Principles and Practice

Franco, 1st Ed.

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Investment Management Regulation: An Introduction to Principles and Practice

Franco, 1st Ed.

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