Investment Advisers Act of 1940

URI: https://gptkb.org/entity/Investment_Advisers_Act_of_1940
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AI-created image of Investment Advisers Act of 1940
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Statements (25)
Predicate Object
gptkbp:instanceOf gptkb:United_States_federal_law
gptkbp:administeredBy gptkb:U.S._Securities_and_Exchange_Commission
gptkbp:amendedBy gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
gptkbp:appliesTo advisers with more than $100 million in assets under management
gptkbp:citation gptkb:15_U.S.C._§_80b-1_et_seq.
gptkbp:dateEnacted 1940
gptkbp:enactedBy gptkb:United_States_Congress
gptkbp:location gptkb:United_States
gptkbp:prohibits fraud by investment advisers
gptkbp:purpose regulate investment advisers
gptkbp:regulates investment advisers
gptkbp:relatedTo gptkb:Investment_Company_Act_of_1940
gptkb:Securities_Act_of_1933
gptkb:Securities_Exchange_Act_of_1934
gptkbp:requires registration of investment advisers
gptkbp:section Section 202(a)(11) defines investment adviser
Section 203 requires registration
Section 204 requires recordkeeping
Section 206 prohibits fraud
gptkbp:signedBy gptkb:Franklin_D._Roosevelt
gptkbp:status in force
gptkbp:website https://www.sec.gov/divisions/investment/iaregulation/memoia.htm
gptkbp:bfsParent gptkb:Securities_and_Exchange_Commission
gptkbp:bfsLayer 3
https://www.w3.org/2000/01/rdf-schema#label Investment Advisers Act of 1940