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? – Mark J. Astarita is a nationally recognized securities lawyer. He has over 30 years of experience representing investors, brokers, advisers, and issuers nationwide. He is available by phone at 212-509-6544 or by email at mja@sallahlaw.com
Related Content
- Hedge Fund Creation, Regulation and Compliance
- Not All Trial Lawyers Can Handle All Kinds Of Trials
- Federal Securities Law, a Securities Lawyer Guide
- Insider Trading – The Legal and Illegal
- What is a Security?
- Securities Regulations, Statutes, Laws and Rules
- Accredited Investor Definition
- Securities Law Information Center
- Securities Attorney
- Customer Not Beneficiary of Clearing Agreement
- Qualified Immunity for NASD
- URL-Y WARNINGS
- Investment Advisers Act of 1940
- SEC Sues Newsletter Publisher
- Securities Law – NASD Solicits Potential Arbitrators
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.
