Overview of the Investment Advisers Act of 1940

Section 204A (Code of Ethics Rule)

Section 206

Rule 206(4)-7 (Compliance Rule)

Other Important Rules under Section 206

Advertising Rule: Rule 206(4)-1

Custody Rule: Rule 206(4)-2

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

Proxy Voting Rule: Rule 206(4)-6

Click to open our AML publication

Law AML Handout Final_Page_1
Law AML Handout Final_Page_1

Law AML Handout Final_Page_2
Law AML Handout Final_Page_2

Law AML Handout Final_Page_8
Law AML Handout Final_Page_8

Law AML Handout Final_Page_1
Law AML Handout Final_Page_1

1/8