Resources
Key regulatory references and SEC resources for registered investment advisers.
Regulatory References
The following resources are provided as reference links to key regulatory materials relevant to SEC-registered investment advisers. These are maintained by the SEC and other regulatory bodies.
Investment Advisers Act of 1940
The foundational federal statute governing investment advisers, including registration, fiduciary duties, and prohibited practices.
Investment Advisers Act Rules
SEC rules under the Investment Advisers Act (17 CFR Part 275), including compliance, custody, advertising, and recordkeeping requirements.
SEC Custody Rule FAQ
Frequently asked questions regarding the SEC custody rule, including qualified custodian requirements and surprise examination obligations.
SEC Division of Examinations
The SEC division responsible for conducting examinations of registered entities, including examination priorities, risk alerts, and compliance guidance.
Information for Newly Registered Investment Advisers
SEC overview for newly registered advisers, including initial compliance obligations, filing requirements, and regulatory expectations.
SEC Division of Investment Management No-Action Letters
Staff no-action letters providing interpretive guidance on questions arising under the Investment Advisers Act and related rules.