Registered Investment Adviser Handbook Chapter 7: Substantive Requirements (Advisers Act)

Summary

This practice note is one of eleven chapters in the Registered Investment Adviser Handbook, the definitive outline summarizing SEC regulatory issues for Investment Advisers, authored by Proskauer Rose partner Robert Plaze. Before joining Proskauer, Mr. Plaze served as Deputy Director of the Division of Investment Management at the U.S. Securities and Exchange Commission (SEC). The Handbook covers extensive ground in key areas for fund managers, including adviser registration, required reporting, and substantive requirements under the U.S. Investment Advisers Act of 1940 (Advisers Act or Act). The Handbook synthesizes regulation of advisers by the SEC, identifies legal and regulatory precedents, and identifies and links to underlying authorities.