Investment Advisers Act Stocks List
Symbol | Grade | Name | % Change | |
---|---|---|---|---|
SHLD | D | Global X Defense Tech ETF | 0.91 | |
DHIL | D | Diamond Hill Investment Group, Inc. | -1.05 |
Related Industries: Asset Management
Symbol | Grade | Name | Weight | |
---|---|---|---|---|
DEEP | D | Roundhill Acquirers Deep Value ETF | 0.97 | |
FDM | C | First Trust DJ Select MicroCap ETF | 0.65 | |
SQLV | D | Legg Mason Small-Cap Quality Value ETF | 0.38 | |
KCE | A | SPDR S&P Capital Markets ETF | 0.34 | |
SMLV | C | SPDR Russell 2000 Low Volatility | 0.32 |
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Related Industries:
Asset Management
- Investment Advisers Act
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. It is the primary source of regulation of investment advisers and is administered by the U.S. Securities and Exchange Commission.
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