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?
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:
- Can Robinhood Stop Trading in A Particular Stock?
- Alibaba’s Results Cast Aside Jack Ma’s Omission From List Of Entrepreneurs
- SEC Awards Over $500,000 to Two Whistleblowers
- U.S. EB-5 Investor Immigration Needs Renewal And Overhaul
- SEC Awards More Than $9.2 Million to Whistleblower for Successful Related Actions, Including Agreement With DOJ
- Chamath Palihapitiya’s Clover Health Discloses New SEC Investigation And Responds To Short-Seller’s Scathing Allegations
- SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
- Fee Rate Advisory #3 for Fiscal Year 2021
- HK Property Investor Goodwin Gaw Spies World Of Bargains On The Horizon
- These Hedge Fund Managers Made The Most In 2020
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 firstname.lastname@example.org.
Visit Sallah Astarita & Cox, and New York Securities Lawyer for information on how their securities attorneys can help you