Investment Adviser Regulation
GPTKB entity
Statements (23)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:law
|
| gptkbp:appliesTo |
gptkb:United_States
investment advisers |
| gptkbp:enforcedBy |
gptkb:U.S._Securities_and_Exchange_Commission
state securities regulators |
| gptkbp:governs |
advisory activities
|
| https://www.w3.org/2000/01/rdf-schema#label |
Investment Adviser Regulation
|
| gptkbp:imposedBy |
fiduciary duty
|
| gptkbp:primaryLaw |
gptkb:Investment_Advisers_Act_of_1940
|
| gptkbp:regulates |
recordkeeping
advertising practices custody of client funds |
| gptkbp:relatedTo |
gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
gptkb:Form_ADV gptkb:Form_PF gptkb:SEC_Rule_204A-1 gptkb:SEC_Rule_206(4)-1 |
| gptkbp:requires |
registration of investment advisers
disclosure of conflicts of interest periodic filings |
| gptkbp:subject |
exemptions for certain advisers
|
| gptkbp:bfsParent |
gptkb:Dodd–Frank
|
| gptkbp:bfsLayer |
5
|