1206, the "Access to Professional Health Insurance Advisors Act
The Dodd-Frank Act repealed the private adviser exemption under Section 203(b)(3) of the Advisors Act
which most family offices had previously relied upon to avoid registration.
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.
Part of the new SEC regulations, "Certain Broker-Dealers Deemed Not To Be Investment Advisors," requires that broker-dealers who claim an exemption from the Investment Advisors Act
and its fiduciary standards must disclose that their interests may diverge from their clients.
206(4)-3, "Cash Payments for Client Solicitations," of the Investment Advisors Act
BOSTON -- A former Boston investment adviser was sentenced on Thursday, October 31, 2002, to a term of imprisonment on a federal charge of misappropriating client funds in violation of the Investment Advisors Act
The Arlen Mutual Fund Handybook is a one volume, complete source for information on mutual fund rules and regulations related to fund registration, accounting, sales material, Investment Company Act and Rules, proxy rules, Investment Advisors Act
and Rules, selected '34 Act Sections and Rules and taxation.
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.