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" 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... "
United States Code - Página 1802
por United States - 1953
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Decisions and Reports, Volumen11

United States. Securities and Exchange Commission - 1945 - 1290 páginas
...investment adviser within the intent of Section 202 (a) (11) of the Act.1 'Section 202 (a) (11) reads: "Investment adviser" means any person who, for compensation,...bank, or any holding company affiliate, as defined in the Banking Act of 1933, which is not an Investment company; (B) any lawyer, accountant, engineer,...
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1968 - 374 páginas
...unincorporated, which constitutes,, maintains, or provides a market place or facilities for bringingtogether purchasers and sellers of securities or for otherwise...bank, or any holding company affiliate, as defined in the Banking Act of 1933, which is not an investment company; (B) any lawyer, accountant, engineer,...
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Decisions and Reports, Volumen8

United States. Securities and Exchange Commission - 1941 - 1124 páginas
...2,000 shares, of which only 78 are issued and outstanding. 1 Section 202 (a) (11) of the Act provides : "Investment adviser" means any person who, for compensation,...bank, or any holding company affiliate, as defined In the Banking Act of 1933, which is not an Investment company; (B) any lawyer, accountant, engineer,...
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Decisions and Reports, Volumen23

United States. Securities and Exchange Commission - 1953 - 824 páginas
...authorized capital stock of 2,000 shares, of which 'Section 202 (a) (11) reads in part as follows: "Investment adviser" means any person who, for compensation,...bank, or any holding company affiliate, as defined In the Banking Act of 1033, which Is not an Investment company ; . . . or (F) snch other persons not within...
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Decisions and Reports, Volumen29

United States. Securities and Exchange Commission - 1955 - 920 páginas
...in real and personal property." The firm presently carries between 1 Section 202 (a) (11) reads: " 'Investment adviser* means any person who, for compensation,...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...
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Investment Trusts and Investment Companies: Hearings Before a ..., Parte3

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - 1940 - 1190 páginas
...execute or order the execution of purchases or sales of securities for the account of such conmpany. (16) "Investment adviser" means any person who, for compensation,...concerning securities: but does not include (A) a bank; (B) any lawyer, accountant, engineer, or teacher whose performance of such services is solely incidental...
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Investment Trusts and Investment Companies, Hearings Before a Subcommittee ...

United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...execute or order the execution of purchases or sales of securities for the account of such conmpany. (16) "Investment adviser" means any person who, for compensation,...regular business, issues or promulgates analyses or report* concerning securities: but does not include (A) a bank: (B) any lawyer, accountant, engineer,...
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Investment Trusts and Investment Companies: Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...from an 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...selling securities, or who for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. Mr....
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1973 - 400 páginas
...unincorporated, which constitutes, maintains, or provides a market place or facilities for bringingtogether purchasers and sellers of securities or for otherwise...include (A) a bank, or any holding company affiliate, as denned in the Banking Act of 1933, which is not an investment company; (B) any lawyer, accountant,...
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Independent Offices Appropriation Bill for 1942: Hearings ... 77th Congress ...

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...
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