内容

目次

1. Introduction 2. Legislative History of the Act 3. Who is an Investment Adviser? 4. SEC and State Authority over Investment Advisers 5. Registration, Form ADV and the IARD 6. International Issues 7. Advertising 8. Establishing the Advisory Relationship 9. Fiduciary Duty 10. Wrap Fee and Other Investment Advisory Programs 11. Personal and Proprietary Trading 12. Position Reporting Obligations 13. Adviser Recordkeeping Requirements 14. Compliance, Inspections and Enforcement under the Advisers Act 15. Employee Benefit Plan Clients and IRAs Primary Source: A. Investment Advisers Act of 1940 B. Rules and Regulations under the Investment Advisers Act C. Forms under the Investment Advisers Act and Other Selected SEC Forms and Schedules D.Legislative History of the Investment Advisers Act of 1940 E.Selected Releases from the Securities and Exchange Commission F.Selected SEC No-Action Letters and Other SEC Correspondence G.Selected SEC and Treasury Department Rules and Regulations H.Selected Federal Cases I.Selected Decisions of the Securities and Exchange Commission J.Selected Staff Reports and Other Publications of the SEC K.Selected Department of Labor Materials L.Selected NASD Rules, Correspondence, and Notices to Members M. Investment Company Institute Report of the Advisory Group on Personal Investing