Because the issues related to the investment adviser
regulation are quite complex, they are not fully addressed here.
The Investment Adviser
Act of 1940 is the primary federal legislative authority governing SEC-registered investment advisers
In lieu of commissions, an unbiased investment adviser
who charges a flat fee can redirect revenue sharing to the plan trust through an open architecture platform.
Travelers SelectOne(SM) for Investment Advisers
and Funds includes an option to select products such as Investment Advisers
Professional Liability, Mutual Fund Liability, Employment Practices Liability, and Fiduciary Liability.
Have the investment adviser
review the rules for the client's company stock options.
The system, which is called the Investment Adviser
Registration Depository (IARD), will permit investment advisers
to satisfy filing obligations under state and Federal laws by making a single electronic filing.
Tull will be responsible for helping investment advisers
and investment companies with designing and reviewing their compliance programs.
As in the late-trading scandal, some investment advisers
have permitted market-timing practices that violate the terms of a prospectus in exchange for the investor's depositing substantial assets with the fund or an affiliated firm.
Persons excluded from the definition of investment adviser
It recommended that investment advisers
and investment companies consider requiring their access persons to report their trades in all ETF shares, even for ETFs that are not organized as UITs.
registered with the SEC must comply with detailed regulations both in screening solicitors and managing their communications with prospective clients.
contend that bailout payments are distinguishable from the payments in Welch because the taxpayer in Welch "made a capital outlay to acquire goodwill for a new business" (emphasis added); see also Dunn & McCarthy, Inc.