The Investment Adviser Act of 1940 is the statute which 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.
Need more information?
The Investment Advisers Act of 1940
Rules and Regulations under the Investment Advisers Act of 1940
Index to all Securities Laws, Rules and Regulations
Looking for a securities attorney? – Visit Sallah Astarita & Cox, LLC, representing investors, brokers, advisers and issuers nationwide, with decades of experience in arbitration, regulation and litigation matters as former Senior SEC Enforcement attorneys, former prosecutors, and outside counsel to large and small finanial firms..
Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article.
You may also be interested in:
- SEC Awards Almost $250,000 to Joint Whistleblowers
- SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings
- SEC Charges Super Micro and Former CFO in Connection with Widespread Accounting Violations
- SEC Names Marc P. Berger as Deputy Director of Enforcement
- SEC Adopts Amendments to Enhance Retail Investor Protections and Modernize the Rule Governing Quotations for Over-the-Counter Securities
- SEC Report and Recommendations on the 39th Annual Small Business Forum
- SEC Awards More Than $10 Million to Whistleblower
- Unregistered ICO Issuer Agrees to Disable Tokens and Pay Penalty for Distribution to Harmed Investors
- SEC Charges Charter School Operator and its Former President With Fraudulent Municipal Bond Offering
- SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs
Return to The Securities Law Home Page
Sallah Astarita & Cox, LLC, securities attorneys providing nationwide representation in securities litigation, regulation and arbitration matters.
Copyright 2010. VGIS Communications LLC. All Rights Reserved. VGIS Communications, LLC – 60 Pompton Avenue, Verona, New Jersey 973-559-5566. Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial adviser before acting upon the information contained in this article. For additional information, contact Mark J. Astarita, Esq., a partner in the law firm of Sallah Astarita& Cox, who represents clients in a wide variety of finance related matters. Mr. Astarita can be contacted by email at mja@sallahlaw.com.
Visit Sallah Astarita & Cox, and New York Securities Lawyer for information on how their securities attorneys can help you
