 | United States. Securities and Exchange Commission - 1941 - 1124 páginas
...are issued and outstanding. 1 Section 202 (a) (11) of the Act provides : "Investment adviser" means any person who, for compensation, engages In the business...of Investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, Issues or promulgates analyses or reports... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...of 2,000 shares, of which 'Section 202 (a) (11) reads in part as follows: "Investment adviser" means any person who, for compensation, engages in the business...of Investing In, purchasing, or selling securities, or who, for compensation and as part of a regular business, Issues or promulgates analyses or reports... | |
 | United States. Securities and Exchange Commission - 1955 - 920 páginas
...property." The firm presently carries between 1 Section 202 (a) (11) reads: " 'Investment adviser* means any person who, for compensation, engages In the business...or writings, as to the value of securities or as to advisability of Investing In, purchasing, or selling securities, or who, for compensation and as part... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...investment adviser in title II. Mr. BOREN. I see. Mr. WHITE. An investment adviser in title II means any person who, for compensation, engages in the business...of investing in, purchasing, or selling securities, or who for compensation and as a part of a regular business, issues or promulgates analyses or reports... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...purchases or sales of securities for the account of such conmpany. (16) "Investment adviser" means any person who, for compensation, engages in the business...of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or report*... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...compensation, engages 3 the business of advising others, either directly or through publications or ^ings, as to the value of securities or as to the advisability of investing in, Phasing, or selling securities, or who, for compensation and as part of a regular business, issues... | |
 | United States - 1953 - 1692 páginas
...State, or between any State and any place or ship outside thereof. (11) "Investment adviser" means any person who, for compensation, engages in the business...of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports... | |
 | United States. Congress. House. Appropriations - 1941 - 1532 páginas
...individuals, partnerships, corporations or other forms of organization who for compensation engage in the business of advising others either directly...securities or as to the advisability of investing in, buying, or selling securities, or who for compensation and as part of a regular business disseminate... | |
 | United States. Congress. House. Committee on Appropriations - 1942 - 1606 páginas
...individuals, partnerships, corporations or other forms of organization «ho for compensation engage in the business of advising others either directly...securities or as to the advisability of investing in, buying, or selling securities, or who for compensation and as part of a regular business disseminate... | |
| |
Investment adviser" 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... 
