3 days ago · The Division of Investment Management develops regulatory policy for investment advisers and investment companies, including mutual funds, exchange-traded funds, and other funds and …

Make sure you read and understand this agreement, as well as the adviser’s relationship summary and Form ADV Part 2 Brochure. Advisers generally must register with the Securities and Exchange …

Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices. Definition of “specified period” over which the asset value of …

Oct 26, 2023 · Staying compliant with Securities and Exchange Commission (SEC) rules and regulations protects investors, maintains trust, and avoids significant penalties. This article provides a …

Understand investment advisor regulation, SEC vs. state registration, and ongoing RIA compliance in this practical guide for fintechs and RIAs.

Sep 18, 2023 · The Securities and Exchange Commission (SEC), in a vote on August 23, 2023, adopted several new rules that apply primarily to investment advisers to private funds (for purposes of this …

Aug 23, 2024 · The Securities and Exchange Commission (SEC) plays a central role in overseeing and regulating investment advisers in the United States. Its primary responsibility is to ensure that …

In the United States, a registered investment adviser (RIA) is a firm or individual who provides investment advice to clients about securities for compensation and is registered with either the …

An investment adviser is an individual or company who is paid for providing advice about securities to their clients. The term investment adviser refers to an individual or company that is registered as …

Aug 21, 2024 · Alongside the rapid pace of Securities and Exchange Commission (SEC) rulemaking, the SEC and its Staff continue to shape regulatory obligations for investment advisers in 2024 through …