Investment Advisers Act

Investment Advisers Act

Legislation passed in 1940 requiring financial advisers to register with the Securities and Exchange Commission. The measure was enacted to protect the public from fraud or misrepresentation by investment advisers.

Investment Advisers Act

Legislation in the United States defining an investment adviser as a person who provides professional advice on how to manage investments or makes investments on behalf of a client. Under amendments to the Advisers Act, investment advisers with more than $25 million under management are required to register with the SEC. The act defines the liability of investment advisers and provides guidelines on the fees and commissions they may collect. Additionally, the Act provides certain anti-fraud provisions protecting investors from predatory advisers, even those not registered with the SEC.
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DoubleLine Capital LP, a registered investment adviser under the Investment Advisers Act of 1940, acts as the investment adviser for the Fund.
Notable potential new rule additions include a rule on auditor independence with respect to loans or debtor-creditor relationships, which would amend Reg S-X, as well as a rule to require that the Investment Advisers Act conform to the Fixing America's Surface Transportation Act, or FAST Act.
The Securities and Exchange Commission today adopted amendments to several Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers.
In this book, authors Frankel and Laby present readers with the third edition of their four-volume comprehensive examination of the Investment Company Act, The Investment Advisers Act, and the contemporary regulation of mutual funds and their managers.
Fortunately, the Investment Advisers Act of 1940 may provide the definitive answer.
206(4) of the Investment Advisers Act of 1940 to their use of social media.
Sierra's investment activities are managed by its investment adviser, SIC Advisors, LLC, which is an investment adviser registered under the Investment Advisers Act of 1940, as amended.
The legislation would amend the Investment Advisers Act of 1940 to provide for the creation of National Investment Adviser Associations (NIAAs), registered with and overseen by the SEC.
Blizzard will supervise two offices that develop recommendations for rulemaking and other policy initiatives under the Investment Company Act and the Investment Advisers Act.
Resources include news articles, introductory-level articles, blogs, links to financial and investment-related resources, and links to code and case law sources, such as the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940.
The SEC in June followed through with rulemaking responsibilities under the new law by releasing final rules that include new registration and reporting requirements for advisers to hedge funds and other private funds, and define "family offices" that are excluded from the Investment Advisers Act of 1940.
This legislation - and the regulations to follow -- will impact unregistered investment advisers of private equity funds as most of them will now be required to become registered with the Securities and Exchange Commission and will be subject to the full spectrum of regulations under the Investment Advisers Act," the bank said in a press release.

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