Tag: Investment Advisors Act of 1940

Federal Exemptions from Investment Advisor Registration

Federal Exemptions from Investment Advisor Registration

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Previously on the MasterCompliance blog, we covered When Do You Have to Register as an Investment Advisor and Exclusions from the Definition Investment Advisor. This Blog will discuss when a person does meet the definition of an investment advisor under the Investment Act of 1940, but is exempt from registration.

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Exclusions from the Definition Investment Advisor

Exclusions from the Definition of Investment Advisor

Posted on by admin

Previously we covered Investment Advisor Registration in our blog When Do You Have to Register as an Investment Adviser?, discussing what the Investment Advisors Act of 1940 defines as an investment advisor and what triggers the registration requirements. In this blog, we will focus on the exclusions from the definition of investment advisor at the federal and state level.

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