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. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


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




Course Information

Adding additional credit may change exam requirements.