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:
- Congressman calls for SEC investigation into leak about possible coronavirus drug
- JPMorgan to Pay More Than $135 Million for Improper Handling of ADRS
- Martha Stewart Indictment
- State-level fines and penalties hit 5-year high
- Arbitrator Code of Ethics Revamped
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
