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Registered Investment Advisor |
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Registered Investment Advisor A person or business regulated by the SEC that provides investing advice or counsel to an investor. All investment advisers managing over $25 million must register with the SEC; the actions of all registered investment advisers are governed by the Investment Advisors Act of 1940. Importantly, it is a criminal offense for investment advisers to provide false or misleading information, and to buy or sell his/her own securities to or from a client. Registration helps the SEC enforce these provisions. Want to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit the webmaster's page for free fun content. |
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