Transcription of Regulation of Investment Advisers - SEC.gov
{{id}} {{{paragraph}}}
Example: bachelor of science
Regulation of Investment Advisers - SEC.gov
Regulation of Investment Advisers by the Securities and Exchange Commission March 2013. Staff of the Investment adviser Regulation Office Division of Investment Management Securities and Exchange Commission Regulation of Investment Advisers by the Securities and Exchange Commission *. I. Introduction Money managers, Investment consultants, and financial planners are regulated in the United States as Investment Advisers under the Investment Advisers Act of 1940. ( Advisers Act or Act ) or similar state statutes. This outline describes the Regulation of Investment Advisers by the Securities and Exchange Commission ( SEC ). The Advisers Act is the last in a series of federal statutes intended to eliminate abuses in the securities industry that Congress believed contributed to the stock market crash of 1929 and the depression of the 1930s. The Act is based on a congressionally-mandated study of Investment companies, including consideration of Investment counsel and Investment advisory services, carried out by the SEC during the 1930s.
Regulation of Investment Advisers by the U.S. Securities and Exchange Commission . March 2013 . Staff of the Investment Adviser Regulation Office
Tags:
Information
Domain:
Source:
Link to this page:
Please notify us if you found a problem with this document: