Exempt transaction filling requirements, federal crowdfunding, investment advisors' custody, postregistration recordkeeping, effectiveness of orders, and professional services for investigations.
An Act Concerning Life Insurance Producer Licenses And Registrations Of Broker-dealers, Agents, Investment Advisers And Investment Adviser Agents, And The Insurance Commissioner's Authority To Deny An Application For An Insurance Producer License.
To amend the Investment Advisers Act of 1940 to codify certain Securities and Exchange Commission no-action letters that exclude brokers and dealers compensated for certain research services from the definition of investment adviser, and for other purposes.