Investment Advisor Act of 1940

A law requiring investment advisors and firms providing investment advice to Register with the SEC and adhere to SEC regulations.

Related Terms: 4 Advisor, Register, Ring, SEC

Other Related Pages: Category: Law_and_Estate_Planning Starting With: I

Additional Related Terms: 10-Q, At par, All or any part, At best, At call, At risk, Add-on service, Action to quiet title, As is, Assignment to creditors