Securities Regulation

Investment Company Act of 1940: A Comprehensive Guide

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Dive into the Investment Company Act of 1940, a pivotal piece of legislation that revolutionized the investment industry and continues to shape it today. This Act established a comprehensive regulatory framework for investment companies, ensuring investor protection and market stability. From its inception to its enduring impact, we’ll explore the key provisions, types of investment … Read more

New York Registered Investment Advisors: A Comprehensive Guide

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Navigating the world of financial advising in New York City? Look no further than our comprehensive guide to New York registered investment advisors (RIAs). We’ll dive into the regulatory landscape, compliance requirements, client acquisition strategies, and more. Get ready to elevate your investment journey in the heart of the financial world. In the bustling metropolis … Read more