Investment Adviser Registration and Regulatory Overview


Companies and individuals who provide investment advice to others are generally subject to regulation by federal and or state securities regulators. Therefore, before providing financial advice to anyone, prospective advisers must determine whether registration is required, and if so, what type of registration is appropriate. Where registration is required, it is critical to understand the regulatory requirements related to that registration as well as the on-going regulatory obligations, as the regulatory environment is complex and the ramifications of non-compliance are significant.

This discussion does not purport to address all aspects of the advisory industry or all regulatory requirements affecting an Investment Adviser, as such, it is important to note that this discussion is a summary of key issues we believe material, and is provided for discussion purposes only. The matters affecting the registration and on-going operations of an Investment Adviser are complex and this discussion is not a substitute for engaging legal counsel or any other specialized professionals to discuss all of the facts regarding your proposed activities and individual situation.

LOADING PDF: If there are any problems, click here to download the file.

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Daniel LeGaye, The LeGaye Law Firm, PC | Attorney Advertising

Written by:


The LeGaye Law Firm, PC on:

JD Supra Readers' Choice 2016 Awards
Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:

Sign up to create your digest using LinkedIn*

*By using the service, you signify your acceptance of JD Supra's Privacy Policy.

Already signed up? Log in here

*With LinkedIn, you don't need to create a separate login to manage your free JD Supra account, and we can make suggestions based on your needs and interests. We will not post anything on LinkedIn in your name. Or, sign up using your email address.