Investment Adviser Act of 1940 and Investment Company Act of 1940

Overview

The role of the investment adviser is regulated by the Investment Advisers Act of 1940 and the Investment Company Act of 1940. This course provides an overview of both pieces of legislation and explores their provisions to guide you through compliance. 

Learning Objectives

Students who successfully complete this course will be able to:

  • understand many provisions of the Investment Advisers Act of 1940
  • understand the Investment Company Act of 1940
  • understand how this legislation impacts the investment adviser

Designed for

Investment Advisory

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