The Investment Advisers Act of 1940Section 210A -- ConsultationExamination results and other information.The appropriate Federal banking agency shall provide the Commission upon request the results ...
(a) Jurisdiction of state regulators.—Nothing in this title shall affect the jurisdiction of the securities commissioner (or any agency or officer performing like functions) of ...
The Investment Advisers Act of 1940Section 210 -- Disclosure of Information by Commission Information available to public. The information contained in any registration application or ...
The Investment Advisers Act of 1940Section 213 -- Court Review of OrdersPetition; jurisdiction; findings of Commission; additional evidence; finality. Any person or party aggrieved by ...
The Investment Advisers Act of 1940Section 209 -- Enforcement of Title Investigation. Whenever it shall appear to the Commission, either upon complaint or otherwise, that ...
The Investment Advisers Act of 1940Section 202 -- DefinitionsWhen used in this title, unless the context otherwise requires, the following definitions shall apply:"Assignment" includes any ...
The Investment Advisers Act of 1940Section 203 -- Registration of Investment AdvisersNecessity of registration. Except as provided in subsection (b) and Section 203A, it shall ...
The Commission shall submit annually a report to the Congress covering the work of the Commission for the preceding year and including such information, data, ...
An investment adviser registered under this title shall take such steps to safeguard client assets over which such adviser has custody, including, without limitation, verification ...
Nothing in this title shall relieve any person of any obligation or duty, or affect the availability of any right or remedy available to the ...