Unless qualified for an exemption, federally regulated advisors must register with the SEC and abide by the law as set out by the Advisors Act.
Investment dictionary. Academic. 2012.
Investment Advisers Act of 1940 — The Investment Advisers Act of 1940, codified at usc|15|80b 1 through usc|15|80b 21, is a United States federal law that was created to regulate the actions of investment advisers (also spelled advisors ) as defined by the law.The law provides in … Wikipedia
Investment Advisor — As defined by the Investment Advisors Act of 1940, any person or group that makes investment recommendations or conducts securities analysis in return for a fee, whether through direct management of client assets or via written publications. An… … Investment dictionary
Investment Counsel Association Of America - ICAA — A non profit organization whose members work in the investment advisory profession. The Investment Counsel Association of America represents the interests of its members to regulatory bodies, such as the Securities and Exchange Commission (SEC).… … Investment dictionary
investment — An expenditure to acquire property or other assets in order to produce revenue; the asset so acquired. The placing of capital or laying out of money in a way intended to secure income or profit from its employment. Securities & Exchange… … Black's law dictionary
investment — An expenditure to acquire property or other assets in order to produce revenue; the asset so acquired. The placing of capital or laying out of money in a way intended to secure income or profit from its employment. Securities & Exchange… … Black's law dictionary
Dodd–Frank Wall Street Reform and Consumer Protection Act — Full title An Act to promote the financial stability of the United States by improving accountability and transparency in the financial system, to end too big to fail , to protect the American taxpayer by ending bailouts, to protect consumers… … Wikipedia
Hedge fund — A hedge fund is a private investment fund open to a limited range of investors which is permitted by regulators to undertake a wider range of activities than other investment funds and which pays a performance fee to its investment manager.… … Wikipedia
James Kirk diploma mills — For other educational institutions using the name LaSalle University , see La Salle University (disambiguation). For other educational institutions named Edison , see Edison (disambiguation). Thomas James Kirk II[1][2] (also known as Thomas… … Wikipedia
National Industrial Recovery Act — Front page of the National Industrial Recovery Act, as signed by President Franklin D. Roosevelt on June 16, 1933. The National Industrial Recovery Act (NIRA), officially known as the Act of June 16, 1933 (Ch. 90, 48 Stat. 195, formerly codified… … Wikipedia
Stevin Hoover — Infobox Criminal subject name = Stevin Ray Hoover date of birth = birth date and age|1948|10|10 place of birth = Franklin, Pennsylvania date of death = place of death = charge = Securities violation (white collar crime) penalty = 18 month federal … Wikipedia
