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Investment Advisers Act of 1940
(redirected from Investment Advisors Act)

    Also found in: Wikipedia 0.01 sec.
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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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).
Pension Protection: the Pension Protection Act of 2006 makes ... by Sesser, Meredith J. / California CPA
pdf), which exempts certain fee-based broker-dealers from the provisions of the Investment Advisors Act of 1940.
The AICPA Personal Financial Planning (PFP) Executive Committee has ... by Journal of Accountancy
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.
Low-profile capital gets high scrutiny by Berry, Kate / Los Angeles Business Journal
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