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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.
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 ...
Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...
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 U.S.'s Dodd-Frank Wall Street Reform Act was passed in July 2010 [4] [94] and requires SEC registration of advisers who manage private funds with more than US$150 million in assets. [ 212 ] [ 213 ] Registered managers must file Form ADV with the SEC, as well as information regarding their assets under management and trading positions. [ 214 ]
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 ...
The U.S. Department of Defense will consider granting honorable discharges to more than 30,000 gay and bisexual veterans who were barred from serving in the military because of their sexual ...
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]