The Investment Adviser Registration Depository (IARD) functions as a one-stop electronic filing system for investment advisers. All SEC-registered investment advisers and…
The Investment Adviser Public Disclosure (IAPD) database contains registration documents filed by investment adviser firms that register electronically using the Investment Adviser Registration Depository (IARD).…
An investment adviser is a person or firm that is engaged in the business of providing investment advice to others…
The SEC’s Division of Enforcement conducts investigations into potential violations of the federal securities laws. Common violations include misrepresenting important…
To engage in any activity in which money is put at risk for the purpose of making a profit.
An interval fund is a type of investment company that periodically offers to repurchase its shares from shareholders. That is, the fund…
The Internet allows individuals or companies to communicate with a large audience without spending a lot of time, effort, or…
The price paid for borrowing money. It is expressed as a percentage rate over a period of time. Interest rates…
Illegal insider trading refers generally to buying or selling a security, in breach of a fiduciary duty or other relationship…