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  2. Investment Advisers Act of 1940 - Wikipedia

    en.wikipedia.org/wiki/Investment_Advisers_Act_of...

    The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.

  3. Registered investment adviser - Wikipedia

    en.wikipedia.org/wiki/Registered_investment_adviser

    An IA must adhere to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940.This standard requires IAs to act and serve a client's best interests with the intent to eliminate, or at least to expose, all potential conflicts of interest which might incline an investment adviser—consciously or unconsciously—to render advice which was not in the best interest of the IA ...

  4. Provisions of the Dodd–Frank Wall Street Reform and Consumer ...

    en.wikipedia.org/wiki/Provisions_of_the_Dodd...

    Title IV, or the "Private Fund Investment Advisers Registration Act of 2010," [36] requires certain previously exempt investment advisers to register as investment advisers under the Investment Advisers Act of 1940. [37] Most notably, it requires many hedge fund managers and private equity fund managers to register as advisers for the first ...

  5. Commodity trading advisor - Wikipedia

    en.wikipedia.org/wiki/Commodity_trading_advisor

    If a commodity trading advisor engages in significant advisory activities regarding securities, it could be required to register under the Investment Advisers Act of 1940 (Advisers Act). However, most commodity trading advisors are able to rely on an exemption from registration set forth in Section 203(b)(6) of the Advisers Act.

  6. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    Although practitioners use popular names to refer to federal securities laws, these laws are generally codified in the U.S. Code, which is the official codification of U.S. statutory law. They are contained in Title 15 of the U.S. Code: for example, the official code citation for Section 5 of the Securities Act of 1933 is 15 U.S.C. section 77e.

  7. Investment Company Act of 1940 - Wikipedia

    en.wikipedia.org/wiki/Investment_Company_Act_of_1940

    The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub. L. 76–768 ) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1 – 80a-64 .

  8. Retail Investor Protection Act - Wikipedia

    en.wikipedia.org/wiki/Retail_Investor_Protection_Act

    The Retail Investor Protection Act was introduced in the House on June 14, 2013 by Rep. Ann Wagner (R, MO-2). [4] It was referred to the United States House Committee on Financial Services and the United States House Committee on Education and the Workforce. It was reported alongside House Report 113-228 part 1 and House Report 113-228 part 2. [4]

  9. Uniform Investment Adviser Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Investment_Adviser...

    Source: [4] The examination is a closed book test. On completion of the examination, the score for each section and the overall test score are immediately available to the candidate. Prior to January 1, 2010, a score of 68.5% was required to pass.