REGULATION OF INVESTMENT ADVISERS
This advanced course offers an in-depth analysis of the legal and regulatory framework surrounding investment advisers. It explores the responsibilities and obligations of investment advisers under the federal securities laws, primarily the Investment Advisers Act of 1940, including their fiduciary duties and disclosure requirements, as well as the role of the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) in regulating investment advisers. The course also addresses recent changes and trends in regulation and oversight, and the evolving challenges faced by investment advisers in an increasingly complex financial landscape.