INVESTMENT ADVISERS ACT - Legislation passed in 1940 requiring financial advisers to register with the ...
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Investment Advisers Act of 1940: The federal law regulating investment advisers. Among other things, the law requires investment advisers to register with the SEC.
registered investment adviser (RIA) Title created by the Investment Advisers Act of 1940.
In December 2004, the SEC issued a rule change that required most hedge fund advisers to register with the SEC by February 1, 2006, as investment advisers under the Investment Advisers Act.
The anti-fraud provisions of the Investment Advisers Act of 1940 and most state laws impose a duty on IAs to act as fiduciaries in dealings with their clients. This means the adviser must hold the client's interest above its own in all matters.
The SEC administers the Securities Act of 1933, the Securities Exchange Act of 1934, the Securities Act Amendments of 1975, the Trust Indenture Act, the Investment Company Act, the Investment Advisers Act and the Public Utility Holding Company Act.
A person or an organization that makes the day-to-day decisions regarding a portfolio's investments. Also called a portfolio manager.
Investment Advisers Act ...
and as such innovative products as closed-end funds that do not trade on exchanges, and usually offer investors the opportunity to sell shares only quarterly or annually. New rules adopted December 2, 2004, amending the Investment Advisers Act of ...
Investment Advisers Act A 1941 Congressional law requiring all investment advisers to register with...
 See also: Investment adviser, Banks, Expense, Fraud, Saving
  
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