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Investment Advisers Act of 1940 |
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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 of 1940. Requiring more disclosure has sparked opposition from financial advisors who complain that brokers are not held to the same strict fiduciary standards as financial advisors and financial planners under the 1940 Investment Advisors Act. |
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