Investment Advisers Act of 1940

E9879
United States federal statute securities regulation law

The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.

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All labels observed (5)

Label Occurrences
Investment Advisers Act of 1940 canonical 20
Form ADV as primary registration document for advisers 1
Investment Advisers Act 1

Statements (54)

Predicate Object
instanceOf United States federal statute ⓘ
securities regulation law ⓘ
administeredBy Securities and Exchange Commission ⓘ
surface form: U.S. Securities and Exchange Commission
amendedBy Dodd–Frank Wall Street Reform and Consumer Protection Act ⓘ
National Securities Markets Improvement Act of 1996 ⓘ
appliesTo advisers engaged in interstate commerce ⓘ
advisers to registered investment companies ⓘ
codifiedIn Title 15 of the United States Code ⓘ
containsSection Section 202 ⓘ
Section 203 ⓘ
Section 204 ⓘ
Section 205 ⓘ
Section 206 ⓘ
Section 208 ⓘ
country United States of America ⓘ
definesTerm federal covered adviser ⓘ
investment adviser ⓘ
effectiveDate 1940 ⓘ
enactedBy United States Congress ⓘ
enforcementBy Division of Enforcement of the SEC ⓘ
establishes Investment Advisers Act of 1940 self-linksurface differs ⓘ
surface form: Form ADV as primary registration document for advisers

federal fiduciary standard for investment advisers ⓘ
exempts certain advisers whose clients are only insurance companies ⓘ
certain family offices ⓘ
certain intrastate advisers ⓘ
focusesOn regulation of advisory relationships between advisers and clients ⓘ
imposesObligation anti-fraud provisions ⓘ
disclosure obligations for investment advisers ⓘ
fiduciary duty on investment advisers ⓘ
registration requirements for investment advisers ⓘ
jurisdiction United States of America ⓘ
surface form: United States
keyProvision Section 203 registration of investment advisers ⓘ
Section 204 recordkeeping and reporting requirements ⓘ
Section 205 restrictions on performance-based fees ⓘ
Section 206 anti-fraud provisions ⓘ
primaryPurpose protect investors ⓘ
regulate investment advisers ⓘ
prohibits fraud by investment advisers ⓘ
manipulative or deceptive practices by investment advisers ⓘ
omission of material facts by investment advisers ⓘ
untrue statements of material fact by investment advisers ⓘ
regulates investment adviser representatives ⓘ
Investment Advisers Act of 1940 self-linksurface differs ⓘ
surface form: investment advisers
regulatesActivity advising others about securities ⓘ
providing investment advice for compensation ⓘ
relatedTo Investment Company Act of 1940 ⓘ
U.S. Securities Act of 1933 ⓘ
surface form: Securities Act of 1933

U.S. Securities Exchange Act of 1934 ⓘ
surface form: Securities Exchange Act of 1934
requires delivery of Form ADV brochure to clients ⓘ
maintenance of books and records by investment advisers ⓘ
registration with the SEC for certain investment advisers ⓘ
shortTitle Investment Advisers Act of 1940 self-linksurface differs ⓘ
surface form: Investment Advisers Act
signedBy President Franklin D. Roosevelt ⓘ
surface form: Franklin D. Roosevelt
yearEnacted 1940 ⓘ

Referenced by (24)

Full triples — surface form annotated when it differs from this entity's canonical label.

Securities and Exchange Commission → enforces → Investment Advisers Act of 1940 ⓘ
Division of Investment Management → appliesLaw → Investment Advisers Act of 1940 ⓘ
Division of Enforcement → legalAuthority → Investment Advisers Act of 1940 ⓘ
Investment Company Act of 1940 → relatedTo → Investment Advisers Act of 1940 ⓘ
Investment Advisers Act of 1940 → shortTitle → Investment Advisers Act of 1940 self-linksurface differs ⓘ
this entity surface form: Investment Advisers Act
Investment Advisers Act of 1940 → regulates → Investment Advisers Act of 1940 self-linksurface differs ⓘ
this entity surface form: investment advisers
Investment Advisers Act of 1940 → establishes → Investment Advisers Act of 1940 self-linksurface differs ⓘ
this entity surface form: Form ADV as primary registration document for advisers
Office of Compliance Inspections and Examinations → legalBasis → Investment Advisers Act of 1940 ⓘ
U.S. Congress (indirectly through SEC oversight) → enactsLaw → Investment Advisers Act of 1940 ⓘ
subject surface form: U.S. Congress
United States federal securities markets → legalFramework → Investment Advisers Act of 1940 ⓘ
Division of Enforcement of the SEC → legalAuthority → Investment Advisers Act of 1940 ⓘ
Securities Act Amendments of 1964 → amends → Investment Advisers Act of 1940 ⓘ
National Securities Markets Improvement Act of 1996 → amends → Investment Advisers Act of 1940 ⓘ
Commerce and Trade → contains → Investment Advisers Act of 1940 ⓘ
this entity surface form: Investment Advisers Act of 1940 (codified sections)
SEC filings → legalBasis → Investment Advisers Act of 1940 ⓘ
IARD → supportsRegulation → Investment Advisers Act of 1940 ⓘ
Division of Investment Management of the SEC → enforces → Investment Advisers Act of 1940 ⓘ
Division of Investment Management of the SEC → usesAuthorityFrom → Investment Advisers Act of 1940 ⓘ
Asset Management Unit → enforces → Investment Advisers Act of 1940 ⓘ
Market Abuse Unit → legalBasis → Investment Advisers Act of 1940 ⓘ
United States federal securities laws → includes → Investment Advisers Act of 1940 ⓘ
Securities Acts Amendments of 1968 → buildsOn → Investment Advisers Act of 1940 ⓘ
NSMIA → amends → Investment Advisers Act of 1940 ⓘ
United States financial system → subjectTo → Investment Advisers Act of 1940 ⓘ