advisers act | SEC.gov | Laws and Rules

Keyword	CPC	PCC	Volume	Score	Length of keyword
advisers act	0.14	0.3	6260	19	12
advisers	1.06	1	9016	27	8
act	1.79	0.8	2270	55	3

Keyword	CPC	PCC	Volume	Score
advisers act	1.5	1	3280	89
advisers act of 1940	1.15	0.6	118	13
advisers act custody rule	0.64	0.7	4507	62
advisers act marketing rule	0.84	0.1	3151	47
advisers act rule 206 4 -1	1.93	1	4726	45
advisers act rule 204-2	1.21	0.6	7341	73
advisers act rules	1.15	0.5	7635	74
advisers act section 204	1.96	0.6	7830	71
advisers act 206 3	0.57	0.6	9470	14
advisers act text	0.05	0.9	7461	73
advisers act books and records	1.3	0.8	2961	56
advisers act fiduciary duty	1.53	0.9	6620	41
advisers act section 207	1.07	0.3	8594	82
advisers act section 203	0.97	0.1	3459	45
advisers act section 206	1.25	0.9	848	72
advisers act rule 205-3	1.74	0.7	9665	64
investment advisers act of 1940	0.65	0.9	8119	1
financial advisers act	1.38	0.1	8905	13
investment advisers act	0.16	0.9	8931	9
immigration advisers licensing act 2007	1.84	0.7	3764	8
investment advisers act rules	0.2	0.5	1041	9
financial advisers act singapore	1.71	0.8	3312	39

Search Results related to advisers act on Search Engine

SEC.gov | Laws and Rules
sec.gov

https://www.sec.gov/investment/laws-and-rules

WEBMay 13, 2020 · Investment Advisers Act of 1940. This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors.

DA: 1 PA: 23 MOZ Rank: 70

Investment Advisers Act of 1940 - Wikipedia
wikipedia.org

https://en.wikipedia.org/wiki/Investment_Advisers_Act_of_1940

WEBThe Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law. Passing unanimously in both the House and Senate, [1] it is the primary source of ...

DA: 12 PA: 23 MOZ Rank: 74

INVESTMENT ADVISERS ACT OF 1940 - GovInfo
govinfo.gov

https://www.govinfo.gov/content/pkg/COMPS-1878/pdf/COMPS-1878.pdf

WEBINVESTMENT ADVISERS ACT OF 1940 øReferences in brackets ø¿ are to title 15, United States Code¿ [Title II of Chapter 686 of the 76th Congress] [As Amended Through P.L. 117–263, Enacted December 23, 2022] øCurrency: This publication is a compilation of the text of title II of chapter 686

DA: 62 PA: 7 MOZ Rank: 4

Investment Advisers Act of 1940 Definition, Overview - Investopedia
investopedia.com

https://www.investopedia.com/terms/i/investadvact.asp

WEBOct 28, 2021 · What Is the Investment Advisers Act of 1940? The Investment Advisers Act of 1940 is a U.S. federal law that regulates and defines the role and responsibilities of an investment adviser.

DA: 77 PA: 97 MOZ Rank: 57

General Information on the Regulation of Investment Advisers
sec.gov

https://www.sec.gov/investment/divisionsinvestmentiaregulationmemoiahtm

WEBOct 12, 2017 · The Securities and Exchange Commission (the "Commission" or "SEC") regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the "Advisers Act"), and the rules adopted under that statute (the "rules").

DA: 59 PA: 39 MOZ Rank: 82

Investment Advisers Act of 1940 | Securities Lawyer's Deskbook
uc.edu

https://lawblogs.uc.edu/sld/the-deskbook-table-of-contents/the-securities-acts-statutory-law/the-investment-advisers-act-of-1940-15-usc-%c2%a7-80b-1-et-seq/

WEBSection 203 — Registration of Investment Advisers. Section 203A — State and Federal Responsibilities. Section 204 — Reports by Investment Advisers. Section 204A — Prevention of Misuse of Nonpublic Information. Section 205 — Investment Advisory Contracts. Section 206 — Prohibited Transactions by Investment Advisers.

DA: 37 PA: 94 MOZ Rank: 62

SEC.gov | The Laws That Govern the Securities Industry
sec.gov

https://www.sec.gov/about/about-securities-laws

WEBOct 1, 2013 · Investment Advisers Act of 1940. This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors.

DA: 25 PA: 8 MOZ Rank: 28

PART 275—RULES AND REGULATIONS, INVESTMENT ADVISERS ACT …
ecfr.gov

https://www.ecfr.gov/current/title-17/chapter-II/part-275

WEBMar 5, 2021 · Small entities under the Investment Advisers Act for purposes of the Regulatory Flexibility Act. § 275.202(a)(1)-1: Certain transactions not deemed assignments. § 275.202(a)(11)(G)-1: Family offices. § 275.202(a)(30)-1: Foreign private advisers. § 275.203-1: Application for investment adviser registration. § 275.203-2

DA: 88 PA: 32 MOZ Rank: 13

The Investment Advisers Act of 1940: Understanding its Definition
supermoney.com

https://www.supermoney.com/encyclopedia/investment-advisers-act-of-1940

WEBMar 15, 2024 · Summary: The Investment Advisers Act of 1940 is a pivotal U.S. federal law, born from the 1929 stock market crash and the Great Depression. This comprehensive guide navigates through its roots, fiduciary duty, adviser criteria, and the intricacies of registration for financial advisers in the finance industry.

DA: 1 PA: 55 MOZ Rank: 70

A Federal Fiduciary Standard Under the Investment Advisers Act …
harvard.edu

https://journals.law.harvard.edu/hblr/2016/12/a-federal-fiduciary-standard-under-the-investment-advisers-act-of-1940-a-refinement-for-the-protection-of-private-funds/

WEBDec 6, 2016 · Accordingly, the Advisers Act embodies the notion that imposing legally enforceable fiduciary duties on investment advisers serves as a crucial counterpoint to the informational asymmetries that exist between advisers and their clients.

DA: 23 PA: 22 MOZ Rank: 3