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.

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

Investment Advisory