Investment Advisors Act of 1940


The federal law that identifies investment advisors and their requirements. The act is interpreted and imposed by the Securities Exchange Commission (SEC). Advisors are required to register with the SEC and follow the rules of this act, unless they are exempt. Also called Advisers Act.

Related Terms

Browse Definitions by Letter: # A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
Investment Advisers Act brochure rule