Investment Advisers: Law & Compliance
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A clear compliance and practice guide that explains and interprets the Investment Advisers Act plus the entire SEC (Securities Exchange Commission) angle of intricate rulemaking, interpretive releases, and enforcement actions aimed at filling its gaps.
Written especially for practitioners, Investment Advisers: Law & Compliance covers:
• Who is an "investment adviser" and subject to the Act - and who is not covered
• Registration procedures for investment advisers, including a detailed review of Form ADV
• What advisers are allowed to say - and what they must say - to current and prospective clients
• How the Act regulates solicitation and referral arrangements, advertising, and Internet activities
• Full text of the 1940 Act and Rules promulgated thereunder
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Table of contents
Chapter 1 Introduction
Chapter 2 Legislative History of the Act
Chapter 3 Who is an Investment Adviser?
Chapter 4 SEC and State Authority over Investment Advisers
Chapter 5 Registration, Form ADV and the IARD
Chapter 6 International Issues
Chapter 7 Advertising
Chapter 8 Establishing the Advisory Relationship
Chapter 9 Fiduciary Duty
Chapter 10 Wrap Fee and Other Investment Advisory Programs
Chapter 11 Personal and Proprietary Trading
Chapter 12 Position Reporting Obligations
Chapter 13 Adviser Record Keeping Requirements
Chapter 14 Compliance, Inspections and Enforcement under the Advisers Act
Chapter 15 Employee Benefit Plan Clients and IRAs
Appendix A Investment Advisers Act of 1940
Appendix B Investment Advisers Act Rules
Appendix C Forms and Schedules
Appendix D Legislative History of the Investment Advisers Act of 1940
Appendix E Selected Releases from the Securities and Exchange Commission
Appendix F Selected SEC No-Actions Letters and Other SEC Correspondence
Appendix G Selected SEC and Treasury Department Rules and Regulations
Appendix H Selected Federal Cases
Appendix I Selected Decisions of the Securities and Exchange Commission
Appendix J Selected Staff Reports and Other Publications of the SEC
Appendix K Selected Department of Labor Materials
Appendix L Selected NASD Rules, Correspondence, and Notices to Members
Appendix M Investment Company Institute Report of the Advisory Group on