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Home > Law & Legal Topics > Investment Law

» Investment Law:
Investment law is the branch of law for the outlay of money for income or profit or the commitment of funds with a view to minimizing risk and safeguarding capital while earning a return.

Investment law is comprised of several diverse bodies of law, including securities regulation laws, investment adviser regulation laws, secured lending and payment system laws, contract and corporate laws, banking and trust laws, and tax laws. Most of these laws focus on the investment asset itself or the investment advisor. The most notable investment laws include the Securities Act of 1933, Securities Exchange Act of 1934, ERISA, and state blue sky laws.

The Securities and Exchange Commission and state securities boards are tasked with regulating the investment industry. Other organizations, such as the National Association of Securities Dealers (NASD), also provide some additional regulation of the investment industry.

Common investment law issues range from disclosure requirements and compliance, investment-related fraud and investment, and invstment advisor registration requirements.

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