Investment Advisers Act of 1940

Investment Advisers ActInvestment Advisors ActInvestment Advisors Act of 1940Investment Companies And Advisers
The Investment Advisers Act of 1940, codified at through, 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.wikipedia
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U.S. Securities and Exchange Commission

Securities and Exchange CommissionSECUnited States Securities and Exchange Commission
It is the primary source of regulation of investment advisers and is administered by the U.S. Securities and Exchange Commission.
In addition to the Securities Exchange Act of 1934, which created it, the SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, and other statutes.

Investment Company Act of 1940

Investment Company Act1940 Act1940 Act fund
The thrust of the study, which led to the passage of the Investment Company Act of 1940 and the Investment Advisers Act, was to provide a closer look at investment trusts and investment companies.
Along with the Securities Exchange Act of 1934 and Investment Advisers Act of 1940, and extensive rules issued by the Securities and Exchange Commission, it forms the backbone of United States financial regulation.

Financial adviser

financial advisorinvestment advisorinvestment adviser
The Investment Advisers Act of 1940, codified at through, 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.
The anti-fraud provisions of the Investment Advisers Act of 1940 and most state laws impose a duty on Investment Advisors to act as fiduciaries in dealings with their clients.

Garn–St. Germain Depository Institutions Act

Garn-St. Germain Depository Institutions ActGarn–St. Germain Depository Institutions Act of 1982

Gramm–Leach–Bliley Act

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Commodity Futures Modernization Act of 2000

Commodity Futures Modernization ActCommodities Futures Modernization ActCommodity Futures Modernization

Dodd–Frank Wall Street Reform and Consumer Protection Act

Dodd-Frank Wall Street Reform and Consumer Protection ActDodd-FrankDodd-Frank Act
The requirement has been revised on several occasions since then, most notably with the passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.

Law of the United States

United States federal lawUnited States lawAmerican lawyer
The Investment Advisers Act of 1940, codified at through, 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.

Public Utility Holding Company Act of 1935

Public Utility Holding Company ActPublic Utility Actbreaking up utility holding companies
Impetus for passage of the act began with the Public Utility Holding Company Act of 1935, which authorized the Securities and Exchange Commission (SEC) to study investment trusts.

Nasdaq

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