Search results with tag "Investment advisers act"
Compliance Issues Related to Best Execution by Investment ...
www.sec.govJul 11, 2018 · obligations under the Investment Advisers Act of 1940 (the “Advisers Act”).1 The Advisers Act establishes a federal fiduciary standard for investment advisers.2 As a fiduciary, when an adviser has the responsibility to select broker-dealers and execute client trades, the adviser has an obligation to seek to obtain “best execution” of client
Regulation of Investment Advisers - SEC.gov
www.sec.govApplicability of the Investment Advisers Act of 1940 to Financial Planners, Pension Consultants, and Other Persons Who Provide Others with Investment Advice as a Component of Other Financial Services, Investment Advisers Act Release No. 1092 (Oct. 8, 1987) (“Release 1092”). 4. Id.; see also Kenisa Oil Company
UNITED STATES OF AMERICA Before the SECURITIES AND ...
www.sec.govinvestment advisers act of 1940 release no. 5944 / january 11, 2022 administrative proceeding file no. 3-20701 in the matter of o.n. investment management company, respondent. order instituting administrative and cease-and-desist proceedings, pursuant to sections 203(e) and 203(k) of the investment advisers act of 1940, making findings, and
Merrill Lynch INVESTMENT ADVISORY PROGRAM - Login
olui2.fs.ml.comAs required by applicable regulations under the Investment Advisers Act of 1940 as amended, set forth below are material changes and enhancements made since the last annual update as part of previous updates: 2020 Disciplinary Event. The following disclosure was added on June
iShares MSCI USA Quality Factor ETF - BlackRock
www.ishares.comCertain information contained herein (the “Information”) has been provided by MSCI ESG Research LLC, a RIA under the Investment Advisers Act of 1940, and may include data from its affiliates (including MSCI Inc. and its subsidiaries (“MSCI”)), or third party suppliers (each an “Information Provider”), and it may not be
iShares Russell 2000 ETF Fund Fact Sheet - BlackRock
www.ishares.comCertain information contained herein (the “Information”) has been provided by MSCI ESG Research LLC, a RIA under the Investment Advisers Act of 1940, and may include data from its affiliates (including MSCI Inc. and its subsidiaries (“MSCI”)), or third party suppliers (each an “Information Provider”), and it may not be
INVESTMENT ADVISERS ACT OF 1940 - SECCC
seccc.comSec. 202 INVESTMENT ADVISERS ACT OF 1940 4 this paragraph, as the Commission may designate by rules and regulations or order. (12) ‘‘Investment company’’, affiliated person, and ‘‘insur-ance company’’ have the same meanings as in the Investment Company Act of 1940. ‘‘Control’’ means the power to exercise