Browse Related Topics For:

Investment Advisers Act of 1940

244
SEC
147
Investment Adviser
78
Enforcement Actions
39
Dodd-Frank
32
Broker-Dealer
30
Compliance
27
Disclosure Requirements
27
Registered Investment Advisors
25
Conflicts of Interest
24
Securities Exchange Act
22
Private Equity Funds
21
Form ADV
21
Pay-To-Play
19
FINRA
19
Private Funds
18
Investment Company Act of 1940
18
Reporting Requirements
17
Chief Compliance Officers
17
Fraud
16
Fiduciary Duty
16
OCIE
16
Qualified Client
16
Recordkeeping Requirements
15
Custody Rule
15
Investment Management
15
Private Equity
15
Sanctions
14
Umbrella Registration
13
Derivatives
13
Fund Managers
13
Mutual Funds
12
Business Continuity Plans
12
Disgorgement
12
Exemptions
12
Financial Institutions
12
Guidance Update
12
Proposed Regulation
12
Securities Act of 1933
11
Hedge Funds
11
High Net-Worth
11
Investment Funds
11
Performance Fee Rule
11
Registration
11
Securities
10
Advisory Contracts
10
Cease and Desist Orders
10
CFTC
10
FinCEN
10
Investment Companies
10
Penalties
10
Policies and Procedures
10
SCOTUS
10
Securities Fraud
10
Settlement
9
Anti-Money Laundering
9
Popular
9
Venture Capital
8
Cybersecurity
8
Financial Markets
8
MSRB
8
Political Contributions
8
Unregistered Brokers
7
Administrative Proceedings
7
Asset Management
7
Bank Secrecy Act
7
Board of Directors
7
Civil Monetary Penalty
7
DOL
7
Enforcement
7
RAUM
7
Social Media
7
Swaps
6
Books & Records
6
BSA/AML
6
Comment Period
6
ERISA
6
Fees
6
Insider Trading
6
Misappropriation
6
Municipal Advisers
6
No-Action Letters
6
Portfolio Companies
6
Registration Requirement
6
Risk Alert
6
Statute of Limitations
6
UK
6
Valuation
6
Whistleblowers
5
Advertising
5
ALJ
5
Banking Sector
5
Cease and Desist
5
Currency Transaction Reports (CTR)
5
Discovery Rule
5
Ethics
5
EU
5
Excessive Fees
5
FCPA
5
Financial Sector
5
GAAP
5
Gabelli v SEC
5
Misrepresentation
5
Neither Admit Nor Deny Settlements
5
Offering Fraud
5
PCAOB
5
Pooled Investment Vehicles
5
Sarbanes-Oxley
5
SBIC
5
Securities Violations
5
SMAs
5
Suspicious Activity Reports (SARs)
4
Appointments Clause
4
Audits
4
Breach of Duty
4
Data Security
4
Due Diligence
4
Family Offices
4
Government Officials
4
Investment
4
Investors
4
JOBS Act
4
Jurisdiction
4
Misallocation of Funds
4
No-Action Relief
4
Portfolio Managers
4
Prejudgment Interest
4
Private Investment Funds
4
Qualified Purchaser
4
Retaliation
4
Retirement Plan
4
Risk Management
4
Third-Party Service Provider
4
Threshold Requirements
4
Transaction-Based Compensation
3
Acquisitions
3
Amended Regulation
3
Anti-Retaliation Provisions
3
Article II
3
Asset-Backed Securities
3
Auditors
3
Best Interest Contract Exemptions
3
Brokers
3
CIP
3
Disaster Preparedness
3
Disclosure
3
Division of Investment Management
3
DOJ
3
EB-5
3
Escrow Accounts
3
FDIC
3
Federal Reserve
3
Filing Requirements
3
First Amendment
3
Fixing America’s Surface Transportation Act (FAST Act)
3
FSOC
3
Inflation Adjustments
3
Information Sharing
3
Investment Fraud
3
Marketing
3
Mary Jo White
3
Money Laundering
3
Money Market Funds
3
Mortgage-Backed Securities
3
New Regulations
3
Patriot Act
3
Personally Identifiable Information
3
Political Campaigns
3
Private Offerings
3
Registered Investment Companies (RICs)
3
Required Forms
3
Risk Assessment
3
Rule 204-2
3
Rule 206(4)-5
3
SEC Examination Priorities
3
Securities Act
3
Securities Litigation
3
Shareholders
3
Subject Matter Jurisdiction
3
Testimonial Statements
3
Transparency
3
Whistleblower Protection Policies
2
401k
2
529 Plans
2
Accredited Investors
2
Administrative Appointments
2
Administrative Hearings
2
Administrative Procedure Act
2
Affiliates
2
AIFMD
2
Appeals
2
Australia
2
Banks
2
Beneficial Owner
2
Bitcoin
2
Business Disruption
2
C-Suite Executives
2
Campaign Contributions
2
Capital Gains
2
CCO
2
CEA
2
CEOs
2
CFPB
2
China
2
CME
2
Collateralized Loan Obligations
2
Commercial Bankruptcy
2
Commodities Exchange Act
2
Corporate Governance
2
Corporate Officers
2
Criminal Prosecution
2
Cross-Border Transactions
2
Crowdfunding
2
Custodians
2
Data Breach
2
Data Privacy
2
Data Protection
2
Derivatives Clearing Organizations
2
Directors
2
Distribution Rules
2
Employee Benefits
2
EU Market Abuse Regulation (EU MAR)
2
European Securities and Markets Authority (ESMA)
2
Failure To Disclose
2
False Advertising
2
False Claims Act (FCA)
2
False Statements
2
FHFA
2
Final Rules
2
Financial Conduct Authority (FCA)
2
Financial Services Industry
2
Form N-Cen
2
Form N-PORT
2
Fund Expenses
2
General Solicitation
2
Government Entities
2
Gramm-Leach-Blilely Act
2
Hackers
2
Hong Kong
2
Internal Controls
2
Investment Portfolios
2
Investor Protection
2
M&A Brokers
2
Management Fees
2
Material Misstatements
2
Material Nonpublic Information
2
Meals-Gifts-and Entertainment Rules
2
Mergers
2
Misleading Statements
2
Natural Disasters
2
New Guidance
2
NPRM
2
NRSRO
2
OCC
2
Offsets
2
Outsourcing
2
PACs
2
Permanent Injunctions
2
Ponzi Scheme
2
Presidential Elections
2
Privately Held Corporations
2
Proposed Amendments
2
Proposed Legislation
2
Proxy Advisors
2
Public Comment
2
Qui Tam
2
Rating Agencies
2
Regulation D
2
Regulation Technical Standards (RTS)
2
RICO
2
Rule 18f-4
2
Rule G-37
2
Safe Harbors
2
Section 10(b)
2
Securities Exchanges
2
Security-Based Swaps
2
SEFs
2
Serious Fraud Office
2
Share Classes
2
Small Business
2
SPVs
2
Stark Law
2
Startups
2
Statements of Net Worth
2
Sub-advisers
2
Swap Data Repositories
2
Third-Party Relationships
2
Trading Platforms
2
Training Requirements
2
U.S. Treasury
2
Whistleblower Awards
2
White Collar Crimes
2
Willful Misconduct
2
Wire Fraud
1
12b-1 plan
1
Accounting Fraud
1
Advances
1
Aggregation Rules
1
AIG
1
Alien Tort Statute
1
Allocation of Funds
1
Alternative Mutual Funds
1
Amended Legislation
1
Analytics
1
Antiterrorism Act
1
ASIC
1
Asset Class
1
Asset Diversification
1
Asset Valuations
1
Australian Securities and Investments Commission
1
Automobile Recall
1
AXA Equitable Life
1
Bank Fraud
1
Bank of America
1
Barack Obama
1
Barclays
1
Basel III
1
Bermuda
1
Best Interest Standard
1
BIS
1
BlackRock
1
Block Trades
1
Blockchain
1
Board of Trustees
1
Borrowers
1
Breach of Contract
1
Bribery
1
Broker Commissions
1
BRRD
1
Business Advice
1
Business Associates
1
C&DIs
1
Canada
1
Capital Acquisition Broker (CAB)
1
Capital Estimation Tool
1
Cause of Action Accrual
1
Cayman Islands
1
Census
1
Cherry Picking
1
Chevron Deference
1
Churning
1
Citigroup
1
CMOs
1
Collateralized Debt Obligations
1
Commodity Pool
1
Community Banks
1
Community Reinvestment Act
1
Compensation
1
Compensation Agreements
1
Congressional Investigations & Hearings
1
Constitutional Challenges
1
Convictions
1
Corporate Fines
1
CPOs
1
Criminal Investigations
1
Crisis Management
1
Customer Due Diligence (CDD)
1
Cyber Attacks
1
Cyber Threats
1
Dark Pool
1
DCMs
1
Debt
1
Declaratory Relief
1
Deferred Prosecution Agreements
1
Delegation Doctrine
1
Department of Business Oversight
1
Deposit Advances
1
Discounts
1
Discovery
1
Discovery Schedule
1
Dismissals
1
Diversity
1
Division of Economic and Risk Analysis (DERA)
1
Documentation
1
Donald Trump
1
Draft Guidance
1
Due Process
1
Duty of Loyalty
1
EBA
1
EBSA
1
EDGAR
1
Electronic Blue Sheets
1
Emerging Growth Companies
1
Employer Liability Issues
1
Employment Contract
1
Encryption
1
Endorsements
1
Energy Sector
1
EOIPA
1
EPA
1
Equal Protection
1
Equitable Tolling
1
Equity Securities
1
Estate Planning
1
Ethics Breach
1
European Banking Authority
1
Examination Priorities
1
Exceptions
1
Exchange-Traded Products
1
Exemptive Orders
1
Exemptive Relief
1
Failure to Validate
1
Fair Market Value
1
Federal Register
1
Federal Rule 12(b)(1)
1
Fee Disclosure
1
FERC
1
Fiduciary Rule
1
FIFA
1
Financial Action Task Force
1
Financial Services Committee
1
Finders
1
Fines
1
Fixed Income Investments
1
Foreign Nationals
1
Forfeiture
1
Form D Filing
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
FTAIA
1
Fund Sponsors
1
Fundersclub.com
1
Funding
1
Fundraisers
1
Futures
1
G-SIB
1
Gartenberg Factors
1
General Motors
1
Gifts
1
Grandfathering Rules
1
Guilty Pleas
1
Gun Control Act
1
HHS
1
HIPAA
1
Hiring & Firing
1
Hitachi
1
Hobbs Act
1
Hospitals
1
HSBC
1
Hurricane Sandy
1
Incentive Stock Options
1
Indemnification
1
Individual Accountability
1
Industry Examinations
1
Initial Public Offerings
1
Injunctions
1
Injunctive Relief
1
Insurance Industry
1
Intent
1
Intermediaries
1
International Arbitration
1
International Litigation
1
Investment Firms
1
IOSCO
1
IRA
1
IRS
1
ISDA
1
Janus Capital Group
1
Joint and Several Liability
1
JPMorgan Chase
1
Jury Instructions
1
Jury Trial
1
Lanham Act
1
Legal Advice Privilege
1
Legislative Committees
1
Lehman Brothers
1
Leveraged Buyout
1
Life Insurance
1
Limited Liability Company (LLC)
1
Limited Partnership Agreements
1
Liquidity
1
Liquidity Risk Management Rule
1
Loan Agreements
1
Lobbying
1
Magnuson-Moss Act
1
Market Manipulation
1
MDLEA
1
Medicaid
1
Medicare
1
Memorandum of Understanding
1
Mens Rea
1
MiFID II
1
Military Service Members
1
Mismanagement
1
Moody's
1
Morrison v National Australia Bank
1
Multi-Employer Pensions
1
Multiemployer Pension Plan Amendments Act (MPPAA)
1
NASD
1
National Futures Association
1
National Private Placement Regimes (NPPR)
1
NAV
1
Negligence
1
New Amendments
1
NHTSA
1
Non-GAAP Financial Measures
1
Non-Judicial Settlement Agreements
1
Non-Public Information
1
OFAC
1
Offerings
1
Offshore Funds
1
Omissions
1
Online Marketplace Lending
1
Ontario Securities Commission (OSC)
1
Oppenheimer & Co.
1
Partnership-in-Fact
1
Partnerships
1
Patent Infringement
1
Pay or Play
1
Pending Legislation
1
Pensions
1
Personal Benefit
1
Personal Jurisdiction
1
PHH Corp. v CFPB
1
Physician Compensation Arrangements
1
Physicians
1
Policy Violations
1
Preemption
1
Price Manipulation
1
Principal Trading Rule Exemption
1
Privacy Notice Rule
1
Private Equity Firms
1
Private Placements
1
Product Defects
1
Proposed Rules
1
Proxy Voting Guidelines
1
Public Pension
1
Publishers
1
Pump and Dump
1
Ratings
1
Registered Funds
1
Regulation AT
1
Regulation M
1
Regulation NMS
1
Regulation S-K
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
Rules of Practice
1
S&P
1
Sales Commissions
1
SAR
1
School Districts
1
Scienter
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
Self-Regulatory Organizations
1
Separate Accounts
1
Service Charges
1
Seventh Amendment
1
Shareholder Litigation
1
Sherman Act
1
SIFMA
1
Social Networks
1
South Africa
1
Special Purpose Entities
1
Special Purpose Vehicles
1
Split of Authority
1
Stare Decisis
1
Statistical Analysis
1
Stocks
1
Strict Liability
1
Subsidiaries
1
Summary Judgment
1
Sun Capital Partners
1
Suspensions & Debarments
1
Swap Dealers
1
Swap Execution Facilities
1
Swiss Banks
1
Tax Planning
1
Termination
1
Terrorism Funding
1
Terrorist Acts
1
TFEU
1
Third Country Entities
1
Third-Party
1
Time Extensions
1
Title VII
1
Tone At The Top
1
Torture Victims Protection Act of 1991
1
Toyota
1
TPAs
1
Trade Options
1
Trade Secrets
1
Transaction Fees
1
Transaction Monitoring
1
Transparency Directive
1
Trump Administration
1
Trust Administration
1
Trustees
1
Tuomey
1
UBS
1
UK Brexit
1
Unregistered Securities
1
USCIS
1
Variable Insurance
1
Vendors
1
Venue
1
Verification Requirements
1
Victims of Trafficking and Violence Protection Act
1
Virtual Currency
1
Volkswagen
1
Warrants
1
Wash Trades
1
Websites
1
Wells Fargo
1
Wells Notice
1
Withdrawal Liability
1
XBRL Filing Requirements
1
Yahoo!
1
Yates Memorandum