Find link

language:

Find link is a tool written by Edward Betts.

searching for Investment Advisers Act of 1940 11 found (59 total)

alternate case: investment Advisers Act of 1940

Commodity trading advisor (1,807 words) [view diff] exact match in snippet view article find links to article

regarding securities, it could be required to register under the Investment Advisers Act of 1940 (Advisers Act). However, most commodity trading advisors are

Performance fee (852 words) [view diff] exact match in snippet view article find links to article

investment advisers are subject to certain requirements under the Investment Advisers Act of 1940. In addition, performance fees may be charged to registered

Personal fiduciary services (797 words) [view diff] exact match in snippet view article find links to article

subject to a fiduciary standard of care laid out in the US Investment Advisers Act of 1940, as amended by the Dodd-Frank Wall Street Reform and Consumer

Broker-dealer (1,083 words) [view diff] exact match in snippet view article find links to article

situations they are exempt from registration under the U.S. Investment Advisers Act of 1940, so long as (i) the investment advice is "solely incidental"

Liquid Realty Partners (571 words) [view diff] case mismatch in snippet view article find links to article

PROCEEDINGS PURSUANT TO SECTIONS 203(e), 203(f), AND 203(k) OF THE INVESTMENT ADVISERS ACT OF 1940 AND SECTION 9(b) OF THE INVESTMENT COMPANY ACT OF 1940, MAKING

FNB Corporation (1,300 words) [view diff] exact match in snippet view article find links to article

Inc., a registered investment adviser under the registered Investment Advisers Act of 1940 and with the Securities and Exchange Commission and Pennsylvania

HCI Equity Partners (1,498 words) [view diff] exact match in snippet view article find links to article

Malek, Thayer and its affiliates of Section 206(2) of the Investment Advisers Act of 1940. In its decision of March 13, 2008, the court reaffirmed the

Pay-to-play (3,400 words) [view diff] exact match in snippet view article find links to article

candidates. This can be seen most notably in Rule 206(4)-5 of the Investment Advisers Act of 1940 and Rules G-37 and G-38 of the MSRB Rule Book. Pay-to-play

Robert Hurt (politician) (3,648 words) [view diff] exact match in snippet view article

2016 (H.R. 5424; 114th Congress) – The bill would amend the Investment Advisers Act of 1940 and to direct the Securities and Exchange Commission to amend

List of major SEC enforcement actions (2009–2012) (10,200 words) [view diff] exact match in snippet view article

Instituting Administrative and Cease-and-Desist Proceedings" Investment Advisers Act of 1940 Release No. 3315 (November 16, 2011) "SEC v. Michael R. Balboa

Provisions of the Dodd–Frank Wall Street Reform and Consumer Protection Act (12,730 words) [view diff] exact match in snippet view article find links to article

investment advisers to register as investment advisers under the Investment Advisers Act of 1940. Most notably, it requires many hedge fund managers and private