Investment advisers,

The Economic Times  Jan 2  Comment 
Sebi proposed entities and individuals, who register as investment advisors, will not be able to sell financial products.
The Economic Times  Jan 2  Comment 
Individuals who are willing to get registered as advisers will not provide any distribution services in financial product.
The Hindu Business Line  Dec 28  Comment 
Sets the ball rolling once again for another set of proposals, public comments
MarketWatch  Apr 20  Comment 
The first thing to do is take market timing, stock picking and emotions out of your investing decisions, writes Phil van Doorn.
The Economic Times  Nov 10  Comment 
"I have received stock tips via text messages which I'm sure goes to thousands of people.Investors are being mislead and Sebi can't stay silent on that,"Sebi chairman U K Sinha said.
Mondo Visione  Aug 26  Comment 
SIFMA’s Asset Management Group (SIFMA AMG) today released the following statement from Timothy Cameron, managing director and head of SIFMA AMG, after the Securities and Exchange Commission (SEC) announced  new reporting and disclosure...
Mondo Visione  Aug 25  Comment 
The Securities and Exchange Commission today adopted amendments to several Investment Advisers Act rules and the investment adviser registration and reporting form to enhance the reporting and disclosure of information by investment advisers....
Mondo Visione  Jun 28  Comment 
The Securities and Exchange Commission today proposed a new rule that would require registered investment advisers to adopt and implement written business continuity and transition plans.  The proposed rule is designed to ensure that investment...
MarketWatch  Apr 28  Comment 
Investors will realize that most are just bloated fee-sucking closet index funds, says Cullen Roche.


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Investment advisers

A person who gives advice on Investments. Those who work for closed-end companies, are prohibited from disseminating advice known to be deceitful or fraudulent, and from acting as a principal on their own accounts by buying and selling securities between themselves and a client without prior written consent. [1]

Means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities. The spellings investment adviser and Investment advisor are both correct. [1]

From advice c.1300 from avis "opinion, it seems to me, in my view. [2]1610s, agent noun from advise. [3]


  1. Investment Advisers Act of 1940
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