Title III: Investment Advisers Supervision Coordination
GPTKB entity
Statements (15)
| Predicate | Object |
|---|---|
| gptkbp:instanceOf |
gptkb:United_States_federal_law
|
| gptkbp:allowsStateRegulationOf |
investment adviser representatives
|
| gptkbp:amendedBy |
gptkb:Investment_Advisers_Act_of_1940
|
| gptkbp:assignsPrimaryRegulationTo |
gptkb:Securities_and_Exchange_Commission
|
| gptkbp:citation |
gptkb:Pub.L._104–290,_Title_III
|
| gptkbp:dateEnacted |
1996
|
| gptkbp:enactedBy |
gptkb:United_States_Congress
|
| gptkbp:establishes |
federal preemption for certain investment advisers
|
| https://www.w3.org/2000/01/rdf-schema#label |
Title III: Investment Advisers Supervision Coordination
|
| gptkbp:limitsStateRegulationOf |
gptkb:SEC-registered_investment_advisers
|
| gptkbp:partOf |
gptkb:National_Securities_Markets_Improvement_Act_of_1996
|
| gptkbp:purpose |
to allocate regulatory responsibility for investment advisers between federal and state authorities
|
| gptkbp:regulates |
investment advisers
|
| gptkbp:bfsParent |
gptkb:National_Securities_Markets_Improvement_Act_of_1996
|
| gptkbp:bfsLayer |
5
|