Series 7: 18.1.4. Investment Advisers Act Of 1940

Taken from our Series 7 Online Guide

18.1.4. 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 who manage $110 million or more in customer assets or who provide advice for an investment company must register with the SEC. Investment advisers who manage at least $100 million and less than $110 million in assets under management can choose to register on either the federal or the state level. Those managing les

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David Hartzell, Cornell Capital Management, New York