Information and resources tailored to investments advisors. Includes details on the Dodd-Frank Act.
An investment adviser is someone who, for compensation, engages in the business of advising others.
Questions and answers about the Dodd-Frank Act and more.
Links to resources and forms will be helpful in the registration process.
Find out how to file with the Investment Advisor Registration Depository (IARD).
There have been significant changes to the regulation and oversight of investment advisers.
Public information is available on every registered individual and company licensed by the Department of Commerce.
A compilation of recent news items on topics are affect investment advisers.