A clear compliance and practice guide that explains and interprets the Investment Advisers Act plus the entire SEC (Securities Exchange Commission) angle of intricate rulemaking, interpretive releases, and enforcement actions aimed at filling its gaps.

Written especially for practitioners, Investment Advisers: Law & Compliance covers:

Who is an "investment adviser" and subject to the Act - and who is not covered

Registration procedures for investment advisers, including a detailed review of Form ADV

What advisers are allowed to say - and what they must say - to current and prospective clients

How the Act regulates solicitation and referral arrangements, advertising, and Internet activities

Full text of the 1940 Act and Rules promulgated thereunder

Two volumes; updated with revisions.

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