What is the Investment Advisors Act of 1940?
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Keywords: securities, Securities and Exchange Commission (SEC), regulations, FINRA, Futures, SEC registration, financial institutions, Investment Advisers Act of 1940, IARD, Form ADV, What is Investment Advice?
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Keywords: investment advisors, Securities and Exchange Commission (SEC), FINRA, SEC registration, fiduciary, advisors, CPAs, Investment Advisers Act of 1940, IARD, Assets Under Management (AUM),