SEC Resources

For your reference, please find below the following SEC resources.

Investment Advisers Act of 1940 as Amended:

Investment Advisers Act Rules:

Custody FAQs:

SEC’s Office of Compliance, Inspections and Examinations – Exam Priorities & Risk Alerts:

Information for Newly Registered Investment  Adviser:

SEC’s Investment Management Division – Guidance:

SEC’s Division of Investment Management – No-Action Letters:

SEC’s Enforcement Division – Administrative Proceedings:

SEC’s Enforcement Division – Litigation Releases: