Registration of Investment Advisers: Overview | Practical Law

Registration of Investment Advisers: Overview | Practical Law

A Practice Note discussing the requirement that investment advisers register with the SEC under the Investment Advisers Act of 1940, the various exclusions and exemptions from registration under the Advisers Act, and the process of registration.

Registration of Investment Advisers: Overview

Practical Law Practice Note Overview 7-607-7886 (Approx. 17 pages)

Registration of Investment Advisers: Overview

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
A Practice Note discussing the requirement that investment advisers register with the SEC under the Investment Advisers Act of 1940, the various exclusions and exemptions from registration under the Advisers Act, and the process of registration.