Investment Advisors Act of 1940

What does it Mean? The federal law enforced and interpreted by the Securities and Exchange Commission (SEC) that governs investment advisors.
Investopedia Says... Unless qualified for an exemption, federally regulated advisors must register with the SEC and abide by the law as set out by the Advisors Act.

Terms Related Links

Registered Investment Advisor
Securities And Exchange Commission - SEC

Terms Related Links
Policing The Securities Market: An Overview Of The SEC - Find out how this regulatory body protects the rights of investors.

Shopping For A Financial Advisor - Finding your perfect advisor is as simple as shopping for a car. Read on to learn more.

The Alphabet Soup Of Financial Certifications - We decode the meaning of those letters that follow the names of different financial professionals.

Paying Your Investment Advisor - Fees Or Commissions? - The way a professional is compensated can affect quality of service. Learn more here.

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