investment adviser

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Related to Investment Advisers: Investment Adviser Representative
ThesaurusAntonymsRelated WordsSynonymsLegend:
Noun1.investment adviser - someone who advises others how to invest their money
adviser, advisor, consultant - an expert who gives advice; "an adviser helped students select their courses"; "the United States sent military advisors to Guatemala"
Based on WordNet 3.0, Farlex clipart collection. © 2003-2012 Princeton University, Farlex Inc.
References in periodicals archive ?
Alcentra, NY, LLC, a registered investment adviser under the Investment Advisers Act of 1940, together with Alcentra Limited is a sub-investment grade credit asset manager focusing on the US and European markets.
- The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities.
- August 21, 2019) - The Securities and Exchange Commission today provided guidance to assist investment advisers in fulfilling their proxy voting responsibilities.
The Securities and Exchange Commission announced settled charges against 79 investment advisers, including Wells Fargo (WFC), BB&T (BBT), Comerica (CMA), Deutsche Bank (DB) Raymond James (RJF) amongst others, who will return more than $125M to clients, with a substantial majority of the funds going to retail investors.
There are registered investment advisers, registered representatives, financial advisors, financial planners, money managers, insurance agents, and a host of other types and titles.
As I described in a prior article, the duality of the state and federal registration regime for investment advisers has resulted in a bit of a regulatory maze - especially for new advisers seeking registration at the state level.
In this book, authors Frankel and Laby present readers with the third edition of their four-volume comprehensive examination of the Investment Company Act, The Investment Advisers Act, and the contemporary regulation of mutual funds and their managers.
He structures and organizes broker-dealers and investment advisers and regularly counsels investment professionals in connection with regulatory matters.
Under Rule 206(4)-1(a)(1) of the Investment Advisers Act of 1940, it is a fraudulent, deceptive or manipulative act for an investment advisor to "directly or indirectly" publish, circulate or distribute any advertisement that "refers, directly or indirectly, to any testimonial of any kind concerning the investment advisor or concerning any advice, analysis, report or other service rendered by such investment advisor [emphasis added]."
Investment advisers and broker/dealers often provide indistinguishable services to retail customers, yet only 8% of investment advisers were examined by the Securities and Exchange Commission (SEC) in 2011, compared with 58% of broker/dealers, the committee noted.
The statement added that, "While the Coalition agrees that more frequent examinations of investment advisers by the SEC are needed," the proposed legislation "is the wrong solution for this problem," noting that should it become law the broker-dealer governed FINRA - which has no experience overseeing investment advisers - would most likely become the SRO."

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