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2. Investment Advisers Act of 1940 - Wikipedia

   en.wikipedia.org/wiki/Investment_Advisers_Act_of...

   Investment Advisers Act of 1940 The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.

3. Investment policy statement - Wikipedia

   en.wikipedia.org/wiki/Investment_policy_statement

   Investment policy statement An Investment policy statement (IPS) is a document, generally between an investor and the assisting investment manager, recording the agreements the two parties come to related to issues relating to how the investor's money is to be managed.

4. Registered investment adviser - Wikipedia

   en.wikipedia.org/wiki/Registered_investment_adviser

   Registered investment adviser. A registered investment adviser (RIA) is a firm that is an investment adviser in the United States, registered as such with the Securities and Exchange Commission (SEC) or a state's securities agency. The numerous references to RIAs within the Investment Advisers Act of 1940 popularized the term, which is closely ...

5. This Is Advisors' No. 1 Compliance Concern – And What ... - AOL

   www.aol.com/finance/advisors-no-1-compliance...

   For the second consecutive year, investment advisor compliance professionals ranked marketing and advertising as their No. 1 compliance worry. Driving this ongoing angst is a new Securities and ...

6. What You Should Know Before the Nov. 4 Marketing Rule ... - AOL

   www.aol.com/finance/5-things-advisors-know-nov...

   In fact, nearly 69% of investment advisor … Continue reading → The post 5 Things Advisors Should Know Before the Nov. 4 Marketing Rule Compliance Date appeared first on SmartAsset Blog.

7. List of securities examinations - Wikipedia

   en.wikipedia.org/wiki/List_of_securities...

   The Middle East The Israel Securities Authority requires six exams and an internship to become a portfolio manager. Exams: Securities Law and Ethics Accounting Statistics and Finance Economics Securities and Financial Instrument Analysis Portfolio management Capital Market Authority (Saudi Arabia) General Securities Qualification Examination (CME-1) Compliance & Anti-money laundering /CTF ...