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Investment Advisers Act of 1940

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Investment Advisers Act of 1940
A federal act that defines what an investment adviser is, requires such advisors to register with the SEC, and sets standards for advertising, disclosure, fees, liability, and record keeping. The Act was passed to protect investors. Also called Advisers Act.


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SECTION 206 OF THE INVESTMENT ADVISERS ACT OF 1940 provides guidelines for investment advisers on what constitutes fraud.
How to prevent investment adviser fraud by Carroll, Brian / Journal of Accountancy
a wholly-owned subsidiary and a registered investment adviser under the Investment Advisers Act of 1940.
Epoch Announces 15% Increase in Assets under Management by Business Wire
The examinations are designed primarily to determine whether investment advisers are complying with the Investment Advisers Act of 1940 and its rules and regulations to protect investors by rooting out fraudulent schemes and other improper practices, and to provide the SEC with up-to-date information on industry practices and developments.
When the SEC knocks ... What every investment adviser should know by Carroll, Brian / Journal of Accountancy
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