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.
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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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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.
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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.
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