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Region: United States
Institution
Collection
Subject
59
Investment advisors Legal status, laws, etc
25
Investment advisors
13
Securities fraud Prevention
13
Stockbrokers Legal status, laws, etc
11
Investments Law and legislation
9
401(k) plans Law and legislation
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8
Defined contribution pension plans Law and legislation
8
Investment advisors Government policy
8
Ponzi schemes
8
Securities
7
Investment advisors Corrupt practices
6
Small business investment companies Law and legislation
5
Conflict of interests
5
Mutual funds Law and legislation
5
Private equity funds Law and legislation
5
Proxy
5
Rules and practice
4
Investment advisors Malpractice
4
Investments Decision making
4
Pension trusts Investments Law and legislation
4
Saving and investment Management
4
Securities fraud
4
Small business Employees Pensions
4
Stockbrokers
3
Auditing
3
Banking law
3
Consumer protection
3
Financial planners Legal status, laws, etc
3
Individual retirement accounts Government policy
3
Investment advisors Taxation
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Author
18
United States. Congress. House. Committee on Financial Services,
7
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
7
United States. Securities and Exchange Commission
6
United States. Congress. House. Committee on Financial Services
4
Library of Congress. Congressional Research Service,
4
United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises,
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4
United States. Congress. House. Committee on Education and the Workforce. Subcommittee on Health, Employment, Labor, and Pensions,
4
United States. Congress. House. Committee on Energy and Commerce
4
United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance
4
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises,
4
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets, Insurance, and Government Sponsored Enterprises
4
United States. Congress. Joint Committee on Taxation
4
United States. Securities and Exchange Commission. Office of Audits,
3
Ebooks Corporation
3
Securities Institute of America,
3
United States. Congress. House. Committee on Education and the Workforce
3
United States. Congress. House. Committee on Education and the Workforce,
2
Shorter, Gary W.,
2
United States. Congress. House. Committee on Financial Services. Subcommittee on Capital Markets and Government Sponsored Enterprises
2
United States. Congress. House. Committee on Financial Services. Subcommittee on Oversight and Investigations,
2
United States. Congress. House. Committee on Rules
2
United States. Congress. House. Committee on Ways and Means
2
United States. Congress. House. Committee on Ways and Means,
2
United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, Insurance, and Investment,
2
United States. Congress. Senate. Committee on Health, Education, Labor, and Pensions. Subcommittee on Employment and Workplace Safety,
2
United States. Congress. Senate. Special Committee on Aging
1
Casey, Frank,
1
Dalio, Ray, 1949-
1
Goldberg, Richard 1952-
1
Markopolos, Harry,
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