Series 65: 8.5 Investment Advisers Act Of 1940

Taken from our Series 65 Online Guide

8.5 Investment Advisers Act of 1940

A companion to the Investment Company Act, the Investment Advisers Act of 1940 requires investment advisers to register with an appropriate regulatory authority. More specifically, investment advisers that manage $110 million or more in customer assets or that provide advice for an investment company must register with the SEC. Investment advisers that manage at least $100 million and less than $110 million in assets can choose to register on

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