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Top URL related to investment advisers act of 1940

• 1. SEC.gov | Laws and Rules

  sec.gov

  Link: https://www.sec.gov/investment/laws-and-rules

  Description: WEBMay 13, 2020 · Investment Advisers Act of 1940. This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors.

• 2. Investment Advisers Act of 1940 - Wikipedia

  wikipedia.org

  Link: https://en.wikipedia.org/wiki/Investment_Advisers_Act_of_1940

  Description: WEBThe Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.

• 3. General Information on the Regulation of Investment Advisers

  sec.gov

  Link: https://www.sec.gov/investment/divisionsinvestmentiaregulationmemoiahtm

  Description: WEBMar 11, 2011 · The Securities and Exchange Commission (the "Commission" or "SEC") regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the "Advisers Act"), and the rules adopted under that statute (the "rules").

• 4. INVESTMENT ADVISERS ACT OF 1940 - GovInfo

  govinfo.gov

  Link: https://www.govinfo.gov/content/pkg/COMPS-1878/pdf/COMPS-1878.pdf

  Description: WEBacts as— (I) an investment adviser to any investment company registered under the Investment Com-pany Act of 1940; or (II) a company that has elected to be a busi-ness development company pursuant to section 54 of the Investment Company Act of 1940 (15 U.S.C. 80a–53), and has not withdrawn its election.

• 5. Investment Advisers Act of 1940 Definition, Overview - Investopedia

  investopedia.com

  Link: https://www.investopedia.com/terms/i/investadvact.asp

  Description: WEBOct 28, 2021 · What Is the Investment Advisers Act of 1940? The Investment Advisers Act of 1940 is a U.S. federal law that regulates and defines the role and responsibilities of an investment adviser.

• 6. 15 U.S. Code Subchapter II - INVESTMENT ADVISERS

  cornell.edu

  Link: https://www.law.cornell.edu/uscode/text/15/chapter-2D/subchapter-II

  Description: WEBState and Federal responsibilities. § 80b–4. Reports by investment advisers. § 80b–4a. Prevention of misuse of nonpublic information. § 80b–5. Investment advisory contracts. § 80b–6. Prohibited transactions by investment advisers.

• 7. SEC.gov | The Laws That Govern the Securities Industry

  sec.gov

  Link: https://www.sec.gov/about/about-securities-laws

  Description: WEBOct 1, 2013 · Investment Advisers Act of 1940. This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors.

• 8. Investment Advisers Act of 1940 | Securities Lawyer's Deskbook

  uc.edu

  Link: https://lawblogs.uc.edu/sld/the-deskbook-table-of-contents/the-securities-acts-statutory-law/the-investment-advisers-act-of-1940-15-usc-%c2%a7-80b-1-et-seq/

  Description: WEBSection 203 — Registration of Investment Advisers. Section 203A — State and Federal Responsibilities. Section 204 — Reports by Investment Advisers. Section 204A — Prevention of Misuse of Nonpublic Information. Section 205 — Investment Advisory Contracts.

• 9. Investment Advisers Act of 1940 | Definition, History, & Rules

  financestrategists.com

  Link: https://www.financestrategists.com/financial-advisor/investment-advisers-act-of-1940/

  Description: WEBJan 31, 2024 · The Investment Advisers Act of 1940 plays a critical role in promoting fairness and transparency in the securities industry, protecting investors from fraud and other forms of misconduct, and establishing standards of conduct for investment advisers.

• 10. Full text of Investment Company Act and Investment Advisers Act of 1940 …

  stlouisfed.org

  Link: https://fraser.stlouisfed.org/title/investment-company-act-investment-advisers-act-1940-5867/fulltext

  Description: WEBFull text of Investment Company Act and Investment Advisers Act of 1940 View original document The full text on this page is automatically extracted from the file linked above and may contain errors and inconsistencies.