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  2. What Do I Need to Start a Registered Investment Advisor (RIA ...

    www.aol.com/finance/start-registered-investment...

    The post How to Start a Registered Investment Advisor (RIA) Firm appeared first on SmartReads by SmartAsset. Starting a registered investment advisor (RIA) firm could be a logical next step in ...

  3. Registered investment adviser - Wikipedia

    en.wikipedia.org/wiki/Registered_investment_adviser

    An investment adviser is defined by the Securities and Exchange Commission as an individual or a firm that is in the business of giving advice about securities. However, an RIA is the actual firm, while the employees of the firm are called Investment Adviser Representatives (IARs). Registered investment adviser firms receive compensation in the ...

  4. Investment Company Act of 1940 - Wikipedia

    en.wikipedia.org/wiki/Investment_Company_Act_of_1940

    The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub. L. 76–768 ) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1 – 80a-64 .

  5. Uniform Investment Adviser Law Exam - Wikipedia

    en.wikipedia.org/wiki/Uniform_Investment_Adviser...

    The Uniform Investment Adviser Law Examination consists of 130 questions plus 10 pretest questions that cover topics applicants must know to provide investment advice to clients. Applicants have 180 minutes to complete the examination, and must answer at least 94 (72%) of the questions correctly to pass the Series 65 exam.

  6. How to Become an Independent Financial Advisor - AOL

    www.aol.com/become-independent-financial-advisor...

    Becoming an independent financial advisor is something you might consider if you're ready to step out of the traditional model and reshape your career path. Independence has its benefits, though ...

  7. Investment Advisers Act of 1940 - Wikipedia

    en.wikipedia.org/wiki/Investment_Advisers_Act_of...

    The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.