Ballentine's law dictionary. Anderson, W.S.. 1998.
Investment Advisers Act of 1940 — (Advisers Act) USA The federal statute administered by the SEC that regulates the registration, conduct and reporting requirements of investment advisers. Investment advisers are required to register with the SEC, unless subject to an exemption… … Law dictionary
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 Advisers Act — Legislation passed in 1940 requiring financial advisers to register with the Securities and Exchange Commission. The measure was enacted to protect the public from fraud or misrepresentation by investment advisers. Bloomberg Financial Dictionary … Financial and business terms
Advisers Act — Investment Advisers Act of 1940 (Advisers Act) USA The federal statute administered by the SEC that regulates the registration, conduct and reporting requirements of investment advisers. Investment advisers are required to register with the SEC,… … Law dictionary
Investment Company Act of 1940 — The Investment Company Act of 1940 is an act of Congress. It was passed as a United States Public Law and is codified at usc|15|80a 1 through usc|15|80a 64.Following the founding of the mutual fund in 1924, investors welcomed the innovation with… … Wikipedia
investment adviser — USA Any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities or… … Law dictionary
Investment Adviser Association — The Investment Adviser Association [ [http://www.investmentadviser.org IAA Home ] ] (IAA) is a not for profit association that exclusively represents the interests of federally registered investment advisory firms. Founded in 1937, the… … Wikipedia
investment counselor — noun or investment adviser Etymology: investment (II) : an individual or firm that analyzes and makes recommendations on a client s securities for a fee but does not have physical custody of these securities investment counselors or advisers must … Useful english dictionary
Investment advisor — An investment advisor (or investment adviser) is an individual or firm that advises clients on investment matters on a professional basis. They tend to fall into two distinct categories: * investment advisors offering direct financial advice to… … Wikipedia
Securities Fraud Deterrence and Investor Restitution Act — The Securities Fraud Deterrence and Investor Restitution Act was USBill|108|H.R.|2179 and is a bill currently on the Union Calendar. Its official titles as introduced, is To enhance the authority of the Securities and Exchange Commission to… … Wikipedia
