and take into consideration their clients' financial positions and financial sophistication. There are also many provisions in the Act dealing with fraud in terms of advertising, control of client assets, soliciting clients, and information disclosure. See also Securities regulation in the United States Commodity Futures Trading Commission Securities commission Chicago Stock Exchange Financial regulation List of financial regulatory authorities by country NASDAQ New York Stock Exchange Stock exchange Regulation D (SEC) Related legislation 1933 - Securities Act of 1933 1934 – Securities Exchange Act of 1934 1938 – Temporary National Economic Committee (establishment) 1939 - Trust Indenture Act of 1939 1940 - Investment Company Act of 1940 1968 – Williams Act (Securities Disclosure Act) 1975 – Securities Acts Amendments of 1975 1982 – Garn–St. Germain Depository Institutions Act 1999 – Gramm-Leach-Bliley Act 2000 – Commodity Futures Modernization Act of 2000 2002 – Sarbanes–Oxley Act 2006 - Credit Rating Agency Reform Act of 2006 2010 – Dodd–Frank Wall Street Reform and Consumer Protection Act References External links Full text of the Investment Advisers Act of 1940 Villanova Journal of Law & Investment Management a scholarly publication addressing the Investment Advisers Act of 1940. Introduction to the Federal Securities Laws 1940 in American law United States federal securities legislation 76th United States Congress United States federal legislation articles without infoboxes Investment in the United States Financial history of the United States