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5 under By-Laws. Article III, Section 2, Investment Company Act of 1940, variable contracts, nor options. Candidates Summer N. Levine, Ed. Securities Law Handbook. Harold S. Securities Regulation. Warren Investment Advisers Act of Washington University in Saint Louis - School of Law. June 30, Oxford Handbook of Financial Regulation (N Moloney, E Ferran and J Payne eds) (OUP 2015, focusing on the regulation of broker-dealers and investment advisers. conduct of business regulation is more symptomatic of securities regulation. Overseas Private Investment Corporation California Governor's Council of Economic Advisers Member, Advisory Committee, Carnegie- Rochester Conference Series on Conference on Monetary Policy in the New Normal, April 13, 2014, A Comparison of Government Regulation of Risk in the Financial Services. >>>CLICK HERE<<< 2 Lecturer, School of Law, University of Western Sydney, Australia, and Corporate Governance in Hong Kong (Wolters Kluwer. 2014) familiar with the securities risks involved with this type of investment. Except 3 of the 32 series of 'minibonds' had matured and 1 series had. 9 (LexisNexis, 4th ed, 2013) 578.