LexisNexis Media Relations - August 22, 2002 News Release

Home> Company Info > Media Relations > July-September, 2002 > August 22, 2002

News Releases July-September, 2002

LexisNexis:
Tracy Holthaus
Local: (937) 865-8844
Toll Free: (800) 227-9597
Ext. 58844

By topic:
Legal
Business
Risk
General

By date:
Current
July-September 2004
April-June 2004
January-March 2004

October-December 2003
July-September 2003
April-June 2003
January-March 2003

Search news releases:

LexisNexis™ Publishes Matthew Bender^® Treatise on Law & Compliance for Investment Advisers
Clear, Comprehensive Manual on Investment Adviser Regulation Interprets Investment Advisers Act Plus Accompanying SEC Rules, Interpretive Releases and Enforcement Actions

DAYTON, OH, August 22, 2002 - LexisNexis™, the global leader in legal, news and business information services, has released the Matthew Bender^® treatise, Investment Advisers: Law & Compliance by James E. Anderson, Robert G. Bagnall and Marianne K. Smythe, leading practitioners in the field of securities law. The treatise is intended for both lawyers and compliance staff.

"Our goal in writing the book was to produce a practical yet comprehensive guide, drawing on our securities practice group's extensive experience both in government and in private practice," said Bagnall.

The requirements investment advisers must follow are not always intuitive and are changing constantly. For these reasons, investment advisers and the attorneys who represent them need expert analysis to help them understand and keep on top of new legal developments. Updated two times a year, Investment Advisers: Law & Compliance fits this need by providing section-by-section analysis of the Investment Advisers Act of 1940 and practical advice on how to comply with the Act’s requirements. In addition, this comprehensive source provides easy access to pertinent primary source materials, such as Securities and Exchange Commission rules, releases and no-action letters, and materials from the National Association of Securities Dealers, Inc. and the Department of Labor.

“Investment Advisers: Law & Compliance is a one-stop shop for reliable answers to attorneys’ questions on investment adviser regulation,” said George Bearese, vice president and editor in chief. “This treatise drives confident decision-making by delivering comprehensive and authoritative information via easy-to-use desktop tools.”

Specific topics covered in the treatise include:

Definition of an “investment adviser” – who is subject to the Act and who is not
Scope of SEC and state authority over investment advisers in light of the National Securities Markets Improvement Act of 1996
Registration procedures for investment advisers, including a detailed review of Form ADV
What advisers are allowed to say – and what they must say – to current and prospective clients
How the Act regulates solicitation and referral arrangements, advertising, and Internet activities
Fiduciary duties owed to clients by advisers
How the Act affects an adviser’s personal trading
Position reporting requirements
Record-keeping requirements
Compliance, inspections and enforcement under the Act

The three authors are partners at the law firm of Wilmer, Cutler & Pickering in Washington D.C., and represent investment companies, investment advisers and broker-dealers in their daily practice. All three authors are also former officials with the SEC’s Division of Investment Management.

Matthew Bender is a leading publisher of legal analysis in print, CD-ROM and Internet formats, with nearly 500 titles in all. Some of the company’s highly respected treatises include Collier on Bankruptcy^®, Moore’s Federal Practice^®, Weinstein’s Evidence^®, Milgrim on Trade Secrets^®, Nimmer on Copyright^®, Chisum on Patents, and Securities Law Techniques.

About LexisNexis

LexisNexis™ is the global leader in comprehensive and authoritative legal, news and business information and tailored applications. Its online services combine searchable access to over four billion documents from thousands of sources. A member of Reed Elsevier Group plc [NYSE: ENL; NYSE: RUK], LexisNexis is headquartered in Dayton, Ohio, USA, and does business in 100 countries with 12,000 employees worldwide. The company offers an extensive range of online and print legal and regulatory information products, tools, customized web applications and critical filing services that help legal professionals reach confident decisions and comply with the law. In addition to LexisNexis at www.lexis.com, the leading Web-based legal research service, LexisNexis includes some the world's most respected legal publishers such as Martindale-Hubbell, Matthew Bender, Butterworths, Les Editions du Juris-Classeur, Abeledo-Perrot and Orac. For more information on products or services, please visit www.lexisnexis.com.