Faster access than browser!
10 relations: Financial adviser, Investment Advisers Act of 1940, Investor, Legislation, Nonprofit organization, Regulation, Regulatory compliance, U.S. Securities and Exchange Commission, United States Congress, United States Department of Labor.
Financial adviser
A financial adviser is a professional who suggests and renders financial services to clients based on their financial situation.
New!!: Investment Adviser Association and Financial adviser · See more »
Investment Advisers Act of 1940
The Investment Advisers Act of 1940, codified at through, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.
New!!: Investment Adviser Association and Investment Advisers Act of 1940 · See more »
Investor
An investor is a person that allocates capital with the expectation of a future financial return.
New!!: Investment Adviser Association and Investor · See more »
Legislation
Legislation (or "statutory law") is law which has been promulgated (or "enacted") by a legislature or other governing body or the process of making it.
New!!: Investment Adviser Association and Legislation · See more »
Nonprofit organization
A non-profit organization (NPO), also known as a non-business entity or non-profit institution, is dedicated to furthering a particular social cause or advocating for a shared point of view.
New!!: Investment Adviser Association and Nonprofit organization · See more »
Regulation
Regulation is an abstract concept of management of complex systems according to a set of rules and trends.
New!!: Investment Adviser Association and Regulation · See more »
Regulatory compliance
In general, compliance means conforming to a rule, such as a specification, policy, standard or law.
New!!: Investment Adviser Association and Regulatory compliance · See more »
U.S. Securities and Exchange Commission
The U.S. Securities and Exchange Commission (SEC) is an independent agency of the United States federal government.
New!!: Investment Adviser Association and U.S. Securities and Exchange Commission · See more »
United States Congress
The United States Congress is the bicameral legislature of the Federal government of the United States.
New!!: Investment Adviser Association and United States Congress · See more »
United States Department of Labor
The United States Department of Labor (DOL) is a cabinet-level department of the U.S. federal government responsible for occupational safety, wage and hour standards, unemployment insurance benefits, reemployment services, and some economic statistics; many U.S. states also have such departments.
New!!: Investment Adviser Association and United States Department of Labor · See more »
References
[1] https://en.wikipedia.org/wiki/Investment_Adviser_Association
