IA Registration Requirement

Overview

This topic page provides guidance as to when an entity may be required to register as an "investment adviser" pursuant to Advisers Act Section 202(a)(11) (which defines the term "investment adviser") or Section 203 (which sets out the registration requirement). The materials on this page deal with topics such as whether the provision of information or standardized analysis of that information constitutes "investment advice," jurisdictional issues, and exemptions available to firms providing advice to limited types of clients. Similar registration questions arise as to commodity pool operators and commodity trading advisors: see the CPO / CTA Registration Requirements page.

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