Browse Related Topics For:

Investment Advisers Act of 1940

160
SEC
100
Investment Adviser
47
Enforcement Actions
29
Compliance
24
Dodd-Frank
18
Broker-Dealer
18
Pay-To-Play
14
Chief Compliance Officers
14
Conflicts of Interest
14
Custody Rule
14
Fraud
13
Financial Institutions
13
Reporting Requirements
12
Disclosure Requirements
12
Investment Company Act of 1940
12
Private Equity Funds
12
Securities Exchange Act
11
Fund Managers
11
Sanctions
10
Hedge Funds
10
Private Funds
10
SCOTUS
9
Fiduciary Duty
9
FINRA
9
Guidance Update
9
Investment Funds
9
Investment Management
9
Mutual Funds
9
OCIE
9
Proposed Regulation
9
Registration
8
Anti-Money Laundering
8
FinCEN
8
Form ADV
8
Private Equity
8
Securities Act of 1933
8
Securities Fraud
8
Settlement
8
Venture Capital
7
Board of Directors
7
CFTC
7
Enforcement
7
Exemptions
7
Investment Companies
7
Recordkeeping Requirements
7
Registered Investment Advisors
7
Securities
6
Bank Secrecy Act
6
Cease and Desist Orders
6
Derivatives
6
Disgorgement
6
Policies and Procedures
6
Social Media
6
Statute of Limitations
6
Whistleblowers
5
BSA/AML
5
Currency Transaction Reports (CTR)
5
Cybersecurity
5
Discovery Rule
5
Ethics
5
Gabelli v SEC
5
Risk Alert
5
Suspicious Activity Reports
5
Swaps
5
Umbrella Registration
5
Valuation
4
Advertising
4
Asset Management
4
Banking Sector
4
Breach of Duty
4
Civil Monetary Penalty
4
Comment Period
4
Escrow Accounts
4
EU
4
Family Offices
4
FCPA
4
Fees
4
Insider Trading
4
Misallocation of Funds
4
Misrepresentation
4
MSRB
4
Municipal Advisers
4
Penalties
4
Political Contributions
4
Popular
4
Retaliation
4
Risk Management
4
Sarbanes-Oxley
4
SBIC
4
UK
3
Anti-Retaliation Provisions
3
Auditors
3
Audits
3
Cease and Desist
3
CIP
3
Data Security
3
DOJ
3
DOL
3
Due Diligence
3
EB-5
3
First Amendment
3
GAAP
3
Information Sharing
3
Investment
3
Investors
3
JOBS Act
3
Jurisdiction
3
Money Laundering
3
Mortgage-Backed Securities
3
Neither Admit Nor Deny Settlements
3
Patriot Act
3
Personally Identifiable Information
3
Ponzi Scheme
3
Pooled Investment Vehicles
3
Prejudgment Interest
3
Private Offerings
3
Qualified Client
3
RAUM
3
Registration Requirement
3
Retirement Plan
3
Rule 204-2
3
SEC Examination Priorities
3
Securities Act
3
Securities Litigation
3
Shareholders
3
SPVs
3
Subject Matter Jurisdiction
3
Testimonial Statements
3
Trading Platforms
3
Wire Fraud
2
401k
2
Administrative Hearings
2
Administrative Procedure Act
2
Administrative Proceedings
2
Affiliates
2
AIFMD
2
ALJ
2
Asset-Backed Securities
2
Australia
2
Banks
2
Books & Records
2
Brokers
2
C-Suite Executives
2
Campaign Contributions
2
Capital Gains
2
CCO
2
CEA
2
CEOs
2
Collateralized Loan Obligations
2
Commodities Exchange Act
2
Corporate Governance
2
Corporate Officers
2
Criminal Investigations
2
Crowdfunding
2
Data Breach
2
Data Privacy
2
Data Protection
2
Derivatives Clearing Organizations
2
Disclosure
2
Division of Investment Management
2
ERISA
2
Failure To Disclose
2
False Advertising
2
False Claims Act (FCA)
2
False Statements
2
Financial Conduct Authority (FCA)
2
Financial Markets
2
Fixing America’s Surface Transportation Act (FAST Act)
2
General Solicitation
2
Government Entities
2
Government Officials
2
Gramm-Leach-Blilely Act
2
Hackers
2
Internal Controls
2
Investment Fraud
2
Investment Portfolios
2
Marketing
2
Material Nonpublic Information
2
Meals-Gifts-and Entertainment Rules
2
Misappropriation
2
Misleading Statements
2
Money Market Funds
2
New Guidance
2
New Regulations
2
No-Action Letters
2
No-Action Relief
2
NPRM
2
NRSRO
2
Outsourcing
2
Portfolio Managers
2
Private Investment Funds
2
Proxy Advisors
2
Public Comment
2
Qui Tam
2
RICO
2
Risk Assessment
2
Rule 18f-4
2
Section 10(b)
2
SMAs
2
Stark Law
2
Startups
2
Stocks
2
Swap Data Repositories
2
Third-Party Relationships
2
Training Requirements
2
Transparency
2
U.S. Treasury
2
Whistleblower Awards
2
White Collar Crimes
1
Accounting Fraud
1
Accredited Investors
1
Administrative Appointments
1
Advances
1
Aggregation Rules
1
AIG
1
Alien Tort Statute
1
Allocation of Funds
1
Alternative Mutual Funds
1
Amended Legislation
1
Amended Regulation
1
Analytics
1
Antiterrorism Act
1
Appeals
1
Appointments Clause
1
Article II
1
Asset Diversification
1
Asset Valuations
1
Australian Securities and Investments Commission
1
Automobile Recall
1
Bank Fraud
1
Bank of America
1
Barack Obama
1
Barclays
1
Bermuda
1
Best Interest Contract Exemptions
1
Best Interest Standard
1
Bitcoin
1
BlackRock
1
Block Trades
1
Board of Trustees
1
Breach of Contract
1
Broker Commissions
1
Business Advice
1
Business Continuity Plans
1
Capital Estimation Tool
1
Cause of Action Accrual
1
Census
1
CFPB
1
Cherry Picking
1
Chevron Deference
1
Churning
1
CME
1
CMOs
1
Collateralized Debt Obligations
1
Commodity Pool
1
Community Banks
1
Conditional Gifts
1
Corporate Fines
1
CPOs
1
Crisis Management
1
Cross-Border Transactions
1
Cyber Threats
1
Debt
1
Declaratory Relief
1
Deferred Prosecution Agreements
1
Delegation Doctrine
1
Deposit Advances
1
Directors
1
Disaster Preparedness
1
Discovery
1
Discovery Schedule
1
Dismissals
1
Distribution Rules
1
Division of Economic and Risk Analysis (DERA)
1
Documentation
1
Due Process
1
Emerging Growth Companies
1
Employer Liability Issues
1
Employment Contract
1
Encryption
1
Endorsements
1
EPA
1
Equal Protection
1
Equitable Tolling
1
Equity Securities
1
ESMA
1
Estate Planning
1
European Securities and Markets Authority
1
Exceptions
1
Excessive Fees
1
Exchange-Traded Products
1
Exemptive Orders
1
Exemptive Relief
1
Fair Market Value
1
FDIC
1
Federal Reserve
1
Federal Rule 12(b)(1)
1
FIFA
1
Financial Action Task Force
1
Financial Services Industry
1
Finders
1
Fines
1
Fixed Income Investments
1
Foreign Nationals
1
Forfeiture
1
Form N-Cen
1
Form N-PORT
1
Form N-SAR
1
Form PF
1
Form S-1
1
Forum Non Conveniens
1
Forum Selection
1
Fraud Alerts
1
Free Identity Theft Protection
1
FSIA
1
FSOC
1
FTAIA
1
Fund Expenses
1
Fund Sponsors
1
Fundersclub.com
1
Funding
1
Futures
1
General Motors
1
Gifts
1
Guilty Pleas
1
Gun Control Act
1
HHS
1
HIPAA
1
Hitachi
1
Hobbs Act
1
Hong Kong
1
Hospitals
1
HSBC
1
Hurricane Sandy
1
Incentive Stock Options
1
Indemnification
1
Individual Accountability
1
Initial Public Offerings
1
Injunctions
1
Injunctive Relief
1
International Arbitration
1
International Litigation
1
Investment Firms
1
Investor Protection
1
IOSCO
1
IRA
1
Janus Capital Group
1
JPMorgan Chase
1
Jury Trial
1
Lanham Act
1
Legal Advice Privilege
1
Lehman Brothers
1
Life Insurance
1
Limited Partnership Agreements
1
Liquidity Risk Management Rule
1
Lobbying
1
Magnuson-Moss Act
1
Management Fees
1
Market Manipulation
1
Mary Jo White
1
Material Misstatements
1
MDLEA
1
Medicaid
1
Medicare
1
Military Service Members
1
Mismanagement
1
Moody's
1
Morrison v National Australia Bank
1
NASD
1
National Private Placement Regimes (NPPR)
1
Natural Disasters
1
NHTSA
1
Non-Judicial Settlement Agreements
1
Non-Public Information
1
OCC
1
OFAC
1
Offering Fraud
1
Offerings
1
Omissions
1
Oppenheimer & Co.
1
Patent Infringement
1
Pay or Play
1
PCAOB
1
Pending Legislation
1
Pensions
1
Permanent Injunctions
1
Personal Benefit
1
Personal Jurisdiction
1
Physician Compensation Arrangements
1
Physicians
1
Policy Violations
1
Political Campaigns
1
Preemption
1
Privacy Notice Rule
1
Privately Held Corporations
1
Product Defects
1
Proposed Amendments
1
Proposed Legislation
1
Proxy Voting Guidelines
1
Publishers
1
Pump and Dump
1
Qualified Purchaser
1
Rating Agencies
1
Ratings
1
Regulation D
1
Regulation S-P
1
Regulation S-X
1
Regulatory Standards
1
Related Parties
1
Relators
1
Remedial Actions
1
Retirement
1
Retroactivity
1
Right of Redemption
1
Risk Mitigation
1
Rule 105
1
Rule 10b-5
1
Rule 206(4)-5
1
S&P
1
Safe Harbors
1
Sales Commissions
1
SAR
1
SDN List
1
Section 10 of the Exchange Act
1
Section 10(b)-5
1
Section 15(c)
1
Section 36(b)
1
Security Risk Assessments
1
Security-Based Swaps
1
SEFs
1
Self-Regulatory Organizations
1
Separate Accounts
1
Serious Fraud Office
1
Seventh Amendment
1
Sherman Act
1
Social Networks
1
South Africa
1
Special Purpose Vehicles
1
Split of Authority
1
Stare Decisis
1
Statistical Analysis
1
Strict Liability
1
Subsidiaries
1
Swap Dealers
1
Swap Execution Facilities
1
Swiss Banks
1
Tax Planning
1
Termination
1
Terrorism Funding
1
TFEU
1
Third-Party
1
Time Extensions
1
Title VII
1
Tone At The Top
1
Torture Victims Protection Act of 1991
1
Toyota
1
Trade Options
1
Trade Secrets
1
Transaction Monitoring
1
Transaction-Based Compensation
1
Transparency Directive
1
Trust Administration
1
Trustees
1
Tuomey
1
UBS
1
Unregistered Securities
1
USCIS
1
Variable Insurance
1
Victims of Trafficking and Violence Protection Act
1
Virtual Currency
1
Volkswagen
1
Wash Trades
1
Websites
1
Wells Fargo
1
Wells Notice
1
Whistleblower Protection Policies
1
Willful Misconduct
1
Yates Memorandum