1206, the Access to Professional Health Insurance Advisors Act
1206, the "Access to Professional Health Insurance Advisors Act
To close this gap, says Tittsworth, the IPA (specifically Section 913) should simply amend the Advisors Act
to extend the current fiduciary obligation to broker-dealers.
The advice must be provided by a "fiduciary adviser," which is defined as a registered investment adviser (under the Investment Advisors Act
of 1940) or a bank, insurance company or broker-dealer (under the Securities Act of 1934).
pdf), which exempts certain fee-based broker-dealers from the provisions of the Investment Advisors Act
It covers all significant statutory provisions, including the Security Exchange Act of 1934, the Investment Company Act of 1940, the Investment Advisors Act
of 1940 and the privacy provisions of the Gramm--Leach--Bliley Act.
The first panel debated the scope of the Investment Advisors Act
of 1940 (Act); among the participants was the AICPA's Director of Personal Financial Planning.
206(4)-3, "Cash Payments for Client Solicitations," of the Investment Advisors Act
LM Capital Group, LLC is a San Diego-based independent investment advisory firm registered under the Investment Advisors Act
The company's unbiased advisors act
as a single point of contact to provide around-the-clock expert counsel about the extensive range of options available in the marketplace and empower them to make the most informed decisions about funeral-related issues.
The amended complaint also alleges that defendants violated Section 206 of the Investment Advisors Act
and Section 17(a) of the Securities Act of 1933 by engaging in a deceptive course conduct which operated as a fraud or deceit upon the named plaintiffs and class members.
ACP") is filing to become a registered Business Development Company ("BDC") under the 1940 Investment Company Act, and the subsequent amendments under the 1980 Investment Advisors Act