investment adviser regulations

Investment adviser regulations are rules designed to protect investors by ensuring that those who provide financial advice act in their clients' best interests. In the U.S., investment advisers must register with the Securities and Exchange Commission (SEC) or state regulators, disclose their fees and conflicts of interest, and adhere to fiduciary standards. This means they must prioritize their clients' needs above their own. These regulations aim to promote transparency, trust, and accountability in the financial advisory industry, helping individuals make informed decisions regarding their investments.