In this episode, we are looking at SEC Rule 206(4)-7, “The Compliance Rule”. You might be asking yourself the question, “Isn’t this entire series about compliance?” The answer is yes. However, this rule has become known as “The Compliance Rule”

Episode 11: Rule 206(4)-6 - Proxy Voting

Nov 30th, 2020 11m 31s

In this episode, we are looking at SEC Rule 206(4)-6, which relates to proxy voting. What is proxy voting? This is the act of someone other than the owner of the securities casting a vote for or against certain corporate actions on behalf of th

Episode 10: Rule 206(4)-5 - Pay to Play Rule

Nov 30th, 2020 9m 26s

In this episode, we are looking at SEC Rule 206(4)-5, which relates to political contributions. Unsavory investment advisors in cahoots with unscrupulous politicians and their operatives decided in the past to trade political favors namely in t

Episode 09: Rule 206(4)-3 - Solicitation Arrangements

Nov 30th, 2020 7m 55s

In this episode, we are looking at SEC Rule 206(4)-3, which relates to solicitation arrangements. Under rule 206(4)-3 of the Advisers Act, it is unlawful for any SEC registered investment adviser to pay a cash fee, directly or indirectly, to a

Episode 08: Rule 206(4)-2 - Custody Rule

Nov 30th, 2020 12m 47s

In this episode, we are looking at SEC Rule 206(4)-2, known as the Custody Rule, which states that it is a fraudulent practice for a registered investment adviser to have custody of client funds or securities, unless the adviser takes certain r

Episode 07: Rule 206(4)-1 - Advertising Rule

Nov 30th, 2020 10m 21s

In this episode, we are looking at SEC Rule 206(4)-1, also known as the Advertising Rule, which states that it shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) o

Episode 06: Section 206 of the Advisers Act

Nov 30th, 2020 16m 40s

In this episode, we are looking at Section 206 of the Advisers Act, which prohibits misstatements and material factual omissions and other fraudulent acts in connection with the conduct of an investment advisory business.

Episode 05: Section 205 of the Advisers Act

Nov 30th, 2020 7m 58s

In this episode, we are looking at what many RIAs might view as one of the most important parts of the Advisers Act, because it deals with the agreements that RIAs have with their clients and the fees that are charged to clients.

Episode 04: Section 204A of the Advisers Act

Nov 30th, 2020 9m 35s

In this episode, we are looking at Sections 204A and Rule 204A-1, known as the Code of Ethics Rule of the Investment Advisers Act of 1940.

Episode 03: Section 204A of the Advisers Act

Nov 30th, 2020 8m 9s

In this episode, we are looking at Sections 204A and Rule 204A-1, known as the Code of Ethics Rule of the Investment Advisers Act of 1940.

Episode 02: Section 203 of the Advisers Act

Nov 30th, 2020 9m 54s

In this episode, we are looking at Section 203 of the Investment Advisers Act of 1940, which deals with the registration requirements for SEC registered investment advisers.

Episode 01: Investment Advisers Act Overview

Nov 30th, 2020 12m 15s

This episode is an overview of the Investment Advisers Act of 1940, and is designed to provide a firm conceptual framework and foundation upon which to build your understanding of the most important law affecting investment advisers in the Unit

Introduction

Nov 30th, 2020 4m 5s

We are extremely excited to share with you RIACF & LawVisory University, where we will be providing free educational content teaching legal and compliance professionals working with or for registered investment advisers.

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