US Investment Adviser Registration: Overview

Resource type: Article

Status: Published on 04-Jan-2010

Jurisdiction: USA

An overview of US investment adviser registration requirements under the Investment Advisers Act of 1940 (Advisers Act). Please note that this Article reflects the law only as of the Article's publication date. It does not reflect changes to the registration and reporting and recordkeeping requirements of the Advisers Act made by the Dodd-Frank Wall Street Reform and Consumer Protection Act.

PLC Corporate & Securities


 

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  • Resource ID: 7-386-4497
  • Published: 04-Jan-2010
  • Products:  PLC UK Financial Services, PLC US Corporate & Securities, PLC US Law Department
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