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 Guidance Updates
Staff guidance and updates from the SEC Division of Investment Management on regulatory interpretations and compliance topics.
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.
SEC Enforcement — Administrative Proceedings
SEC administrative proceedings and orders related to enforcement actions against investment advisers and other regulated entities.
SEC Enforcement — Litigation Releases
SEC litigation releases documenting civil enforcement actions filed in federal court against investment advisers and other market participants.
Need Help Navigating Regulatory Requirements?
Our team can help you understand how these regulations apply to your firm and build a compliance program that addresses your specific obligations.