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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.
This can be seen most notably in Rule 206(4)-5 of the Investment Advisers Act of 1940 and Rules G-37 and G-38 of the MSRB Rule Book. [ 14 ] Pay-to-play occurs when investment firms or their employees make campaign contributions to politicians or candidates for office in the hope of receiving business from the municipalities that those political ...
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 ...
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 .
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]
The coworker of a newly married woman says she used their recent company holiday party to swindle wedding gifts. After sharing a "sob story" about how she wasn't given enough money from her guests ...
For Mark Ruffalo, kindness is key as the world turns its calendars to 2025.. The actor, 57, shared a photo of himself lounging shirtless on Instagram Tuesday, Dec. 31, as he reflected that this ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...