The Investment Advisers Act of 1940Section 206 -- Prohibited Transactions by Investment AdvisersIt shall be unlawful for any investment adviser, by use of the mails ...
The Investment Advisers Act of 1940Section 201 -- FindingsUpon the basis of facts disclosed by the record and report of the Securities and Exchange Commission ...
The Investment Advisers Act of 1940Section 204A -- Prevention of Misuse of Nonpublic Information Every investment adviser subject to Section 204 shall establish, maintain, and ...
The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means ...
The Investment Advisers Act of 1940 Section 211 -- Rules, Regulations, and Orders
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 ...
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 ...
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 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 ...