Browse Related Topics For:

Investment Advisers Act of 1940

123
SEC
71
Investment Adviser
28
Enforcement Actions
18
Compliance
15
Dodd-Frank
13
Broker-Dealer
13
Custody Rule
13
Pay-To-Play
11
Fraud
10
Reporting Requirements
9
Hedge Funds
9
Private Equity Funds
9
Registration
8
Fund Managers
8
Guidance Update
8
Investment Company Act of 1940
8
Sanctions
8
Settlement
7
Form ADV
7
Private Funds
7
Securities
7
Securities Exchange Act
6
Chief Compliance Officers
6
Disclosure Requirements
6
Enforcement
6
FINRA
6
Investment Funds
6
Investment Management
6
Private Equity
6
SCOTUS
6
Venture Capital
5
Conflicts of Interest
5
Discovery Rule
5
Gabelli v SEC
5
Securities Act of 1933
5
Securities Fraud
5
Social Media
5
Statute of Limitations
5
Umbrella Registration
4
Advertising
4
Board of Directors
4
CFTC
4
Escrow Accounts
4
Ethics
4
Exemptions
4
Family Offices
4
Misallocation of Funds
4
Mutual Funds
3
Asset Management
3
Derivatives
3
EB-5
3
EU
3
Fiduciary Duty
3
JOBS Act
3
Misrepresentation
3
Mortgage-Backed Securities
3
MSRB
3
Policies and Procedures
3
Pooled Investment Vehicles
3
Private Offerings
3
Qualified Client
3
RAUM
3
Retaliation
3
Rule 204-2
3
SPVs
3
Swaps
3
Valuation
3
Whistleblowers
2
Administrative Hearings
2
Affiliates
2
ALJ
2
Asset-Backed Securities
2
Auditors
2
Audits
2
Brokers
2
C-Suite Executives
2
Cease and Desist
2
Crowdfunding
2
Disgorgement
2
Due Diligence
2
Fees
2
GAAP
2
General Solicitation
2
Government Entities
2
Investment Companies
2
Investment Fraud
2
Issuers
2
Material Nonpublic Information
2
Municipal Advisers
2
Neither Admit Nor Deny Settlements
2
New Guidance
2
New Regulations
2
No-Action Letters
2
No-Action Relief
2
OCIE
2
Political Contributions
2
Ponzi Scheme
2
Private Investment Funds
2
Proposed Regulation
2
Proxy Advisors
2
Recordkeeping Requirements
2
Risk Assessment
2
Securities Litigation
2
SMAs
2
Subject Matter Jurisdiction
2
Testimonial Statements
2
Third-Party Relationships
2
UK
1
401k
1
Accounting Fraud
1
Accredited Investors
1
Aggregation Rules
1
AIFMD
1
Allocation of Funds
1
Alternative Mutual Funds
1
Amended Regulation
1
Anti-Money Laundering
1
Anti-Retaliation Provisions
1
Appeals
1
Appointments Clause
1
Article II
1
Asset Diversification
1
Asset Valuations
1
Australia
1
Australian Securities and Investments Commission
1
Bank of America
1
Banks
1
Barack Obama
1
Barclays
1
BlackRock
1
Block Trades
1
Board of Trustees
1
Books & Records
1
Breach of Duty
1
Broker Commissions
1
Business Continuity Plans
1
Capital Estimation Tool
1
Capital Gains
1
Cause of Action Accrual
1
CCO
1
CEA
1
Cease and Desist Orders
1
CFPB
1
Civil Monetary Penalty
1
CME
1
Collateralized Debt Obligations
1
Collateralized Loan Obligations
1
Commodities Exchange Act
1
Commodity Pool
1
Community Banks
1
Conditional Gifts
1
Corporate Fines
1
Corporate Governance
1
Corporate Officers
1
CPOs
1
Debt
1
Declaratory Relief
1
Delegation Doctrine
1
Deposit Advances
1
Derivatives Clearing Organizations
1
Directors
1
Disaster Preparedness
1
Disclosure
1
Discovery Schedule
1
Division of Economic and Risk Analysis (DERA)
1
Division of Investment Management
1
Documentation
1
DOJ
1
Emerging Growth Companies
1
Employer Liability Issues
1
Endorsements
1
Equitable Tolling
1
Equity Securities
1
ERISA
1
ESMA
1
Estate Planning
1
Exceptions
1
Exchange-Traded Products
1
Exemptive Relief
1
False Advertising
1
False Statements
1
FCA
1
FCPA
1
FDIC
1
Federal Reserve
1
Fiduciary Liability
1
Financial Conduct Authority
1
Financial Institutions
1
Financial Markets
1
Finders
1
Fines
1
Foreign Nationals
1
Form S-1
1
Forum Selection Clause
1
Fund Sponsors
1
Fundersclub.com
1
Funding
1
Futures
1
Gifts
1
Gramm-Leach-Blilely Act
1
HSBC
1
Hurricane Sandy
1
Incentive Stock Options
1
Indemnification
1
Initial Public Offerings
1
Injunctions
1
Injunctive Relief
1
Insider Trading
1
Internal Controls
1
Investment Portfolios
1
Investors
1
JPMorgan Chase
1
Jurisdiction
1
Jury Trial
1
Lobbying
1
Marketing
1
Mary Jo White
1
Military Service Members
1
Misleading Statements
1
Money Market Funds
1
Moody's
1
Natural Disasters
1
Non-Judicial Settlement Agreements
1
Non-Public Information
1
NPRM
1
NRSRO
1
OCC
1
Offerings
1
Oppenheimer & Co.
1
Pay or Play
1
Penalties
1
Pending Legislation
1
Pensions
1
Popular
1
Portfolio Managers
1
Prejudgment Interest
1
Privately Held Corporations
1
Proposed Amendments
1
Proposed Legislation
1
Proxy Voting Guidelines
1
Publishers
1
Qualified Purchaser
1
Rating Agencies
1
Ratings
1
Regulation D
1
Remedial Actions
1
Retroactivity
1
Right of Redemption
1
Risk Alert
1
Risk Management
1
Rule 105
1
S&P
1
Safe Harbors
1
Sales Commissions
1
Sarbanes-Oxley
1
SBIC
1
Section 10(b)
1
Section 10(b)-5
1
Section 15(c)
1
SEFs
1
Self-Regulatory Organizations
1
Separate Accounts
1
Seventh Amendment
1
Shareholders
1
Social Networks
1
Special Purpose Vehicles
1
Stare Decisis
1
Startups
1
Statistical Analysis
1
Stocks
1
Strict Liability
1
Subsidiaries
1
Swap Data Repositories
1
Swap Dealers
1
Swap Execution Facilities
1
Tax Planning
1
TFEU
1
Third-Party
1
Time Extensions
1
Trade Options
1
Transaction-Based Compensation
1
Trust Administration
1
Trustees
1
U.S. Treasury
1
UBS
1
Unregistered Securities
1
USCIS
1
Variable Insurance
1
Wash Trades
1
Websites
1
Wells Fargo
1
Wells Notice