The Investment Adviser Act of 1940 is the statute that provides the regulations for the registration and oversight of individuals and corporations who are not brokers or dealers, but who provide investment advice to the public.
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The Investment Advisers Act of 1940
Rules and Regulations under the Investment Advisers Act of 1940
Index to all Securities Laws, Rules and Regulations
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Need help with a securities law issue? Call New York Securities Lawyer at 212-509-6544 or visit the website. Representing investors and advisers across the country for over 30 years.
