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Excerpt from Practical Guidance

Expert Analysis

Interpreting Key Provisions Of The Investment Advisers Act

Law360, New York ( June 26, 2014, 9:53 AM EDT) -- The Investment Advisers Act of 1940 is the foundation upon which investment adviser regulation is built under United States securities laws. The Advisers Act authorizes the U.S. Securities and Exchange Commission to create a system of federal regulation, governing registration, record keeping and certain other required or prescribed activities. Like other U.S. securities laws, the Advisers Act also prohibits fraud and bad-faith dealing....

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