Investment Advisers Act of 1940

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.

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 financial firms.

Related Content

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