Investment Advisers Act of 1940
E9879
The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
All labels observed (5)
How this entity was disambiguated
This entity first appeared as the object of triple T48300 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Investment Advisers Act of 1940 Context triple: [Securities and Exchange Commission, enforces, Investment Advisers Act of 1940]
-
A.
Investment Company Act of 1940
The Investment Company Act of 1940 is a U.S. federal law that regulates the organization and activities of investment companies, such as mutual funds, to protect investors through disclosure, governance, and operational requirements.
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B.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
-
C.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
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D.
Glass–Steagall Act
The Glass–Steagall Act was a landmark U.S. banking law of the 1930s that separated commercial and investment banking to curb financial speculation and prevent future banking crises.
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E.
Sarbanes–Oxley Act of 2002
The Sarbanes–Oxley Act of 2002 is a U.S. federal law that established sweeping reforms to improve corporate governance, financial reporting, and auditor independence in response to major accounting scandals.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Investment Advisers Act of 1940 Target entity description: The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
-
A.
Investment Company Act of 1940
The Investment Company Act of 1940 is a U.S. federal law that regulates the organization and activities of investment companies, such as mutual funds, to protect investors through disclosure, governance, and operational requirements.
-
B.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
-
C.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
D.
Glass–Steagall Act
The Glass–Steagall Act was a landmark U.S. banking law of the 1930s that separated commercial and investment banking to curb financial speculation and prevent future banking crises.
-
E.
Sarbanes–Oxley Act of 2002
The Sarbanes–Oxley Act of 2002 is a U.S. federal law that established sweeping reforms to improve corporate governance, financial reporting, and auditor independence in response to major accounting scandals.
- F. None of above. chosen
Statements (54)
| Predicate | Object |
|---|---|
| instanceOf |
United States federal statute
ⓘ
securities regulation law ⓘ |
| administeredBy |
U.S. Securities and Exchange Commission
ⓘ
linked to:
Securities and Exchange Commission
|
| amendedBy |
Dodd–Frank Wall Street Reform and Consumer Protection Act
ⓘ
National Securities Markets Improvement Act of 1996 ⓘ |
| appliesTo |
advisers engaged in interstate commerce
ⓘ
advisers to registered investment companies ⓘ |
| codifiedIn | Title 15 of the United States Code ⓘ |
| containsSection |
Section 202
ⓘ
Section 203 ⓘ Section 204 ⓘ Section 205 ⓘ Section 206 ⓘ Section 208 ⓘ |
| country | United States of America ⓘ |
| definesTerm |
federal covered adviser
ⓘ
investment adviser ⓘ |
| effectiveDate | 1940 ⓘ |
| enactedBy | United States Congress ⓘ |
| enforcementBy | Division of Enforcement of the SEC ⓘ |
| establishes |
Form ADV as primary registration document for advisers
ⓘ
linked to:
Investment Advisers Act of 1940
federal fiduciary standard for investment advisers ⓘ |
| exempts |
certain advisers whose clients are only insurance companies
ⓘ
certain family offices ⓘ certain intrastate advisers ⓘ |
| focusesOn | regulation of advisory relationships between advisers and clients ⓘ |
| imposesObligation |
anti-fraud provisions
ⓘ
disclosure obligations for investment advisers ⓘ fiduciary duty on investment advisers ⓘ registration requirements for investment advisers ⓘ |
| jurisdiction |
United States
ⓘ
linked to:
United States of America
|
| keyProvision |
Section 203 registration of investment advisers
ⓘ
Section 204 recordkeeping and reporting requirements ⓘ Section 205 restrictions on performance-based fees ⓘ Section 206 anti-fraud provisions ⓘ |
| primaryPurpose |
protect investors
ⓘ
regulate investment advisers ⓘ |
| prohibits |
fraud by investment advisers
ⓘ
manipulative or deceptive practices by investment advisers ⓘ omission of material facts by investment advisers ⓘ untrue statements of material fact by investment advisers ⓘ |
| regulates |
investment adviser representatives
ⓘ
investment advisers ⓘ
linked to:
Investment Advisers Act of 1940
|
| regulatesActivity |
advising others about securities
ⓘ
providing investment advice for compensation ⓘ |
| relatedTo |
Investment Company Act of 1940
ⓘ
Securities Act of 1933 ⓘ
linked to:
U.S. Securities Act of 1933
Securities Exchange Act of 1934 ⓘ
linked to:
U.S. Securities Exchange Act of 1934
|
| requires |
delivery of Form ADV brochure to clients
ⓘ
maintenance of books and records by investment advisers ⓘ registration with the SEC for certain investment advisers ⓘ |
| shortTitle |
Investment Advisers Act
ⓘ
linked to:
Investment Advisers Act of 1940
|
| signedBy |
Franklin D. Roosevelt
ⓘ
linked to:
President Franklin D. Roosevelt
|
| yearEnacted | 1940 ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Investment Advisers Act of 1940 Description of subject: The Investment Advisers Act of 1940 is a U.S. federal law that regulates investment advisers by imposing registration, fiduciary, disclosure, and anti-fraud obligations to protect investors.
Referenced by (29)
Full triples — surface form annotated when it differs from this entity's canonical label.
linked to: Investment Advisers Act of 1940
linked to: Investment Advisers Act of 1940
Investment Advisers Act of 1940
→
establishes
→
Form ADV as primary registration document for advisers
ⓘ
linked to: Investment Advisers Act of 1940
subject linked to:
U.S. Congress (indirectly through SEC oversight)
linked to: Investment Advisers Act of 1940
Division of Investment Management of the SEC
→
usesAuthorityFrom
→
Investment Advisers Act of 1940
ⓘ