SEC Resources
For your reference, please find below the following SEC resources.
Investment Advisers Act of 1940 as Amended: https://www.law.cornell.edu/uscode/text/15/chapter-2D/subchapter-II
Investment Advisers Act Rules: https://www.law.cornell.edu/cfr/text/17/part-275
Custody FAQs: https://www.sec.gov/divisions/investment/custody_faq_030510.htm
SEC’s Office of Compliance, Inspections and Examinations – Exam Priorities & Risk Alerts: https://www.sec.gov/ocie
Information for Newly Registered Investment Adviser: https://www.sec.gov/divisions/investment/advoverview.htm
SEC’s Investment Management Division – Guidance: https://www.sec.gov/investment/im-guidance-updates.html
SEC’s Division of Investment Management – No-Action Letters: https://www.sec.gov/divisions/investment/im-noaction.shtml
SEC’s Enforcement Division – Administrative Proceedings: https://www.sec.gov/litigation/admin.shtml
SEC’s Enforcement Division – Litigation Releases: https://www.sec.gov/litigation/litreleases.shtml
