 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...  Securities Regulations for the District of Columbia - Página 35por United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 59 páginasVista completa - Acerca de este libro
 | Philippines - 1988 - 484 páginas
...delivery on or subject to the rules of any contract market, or (2) who for compensation or/profit, and as part of a regular business, issues or promulgates analyses or reports concerning commodities; except (a) any bank or trust company, (b) any journalist, reporter, columnist or editor,... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...the advisability of Investing In, purchasing, or selling securities, or who, for compensation and as part of a regular business, Issues or promulgates analyses or reports concerning securities ; but does not Include (A) a bank, or any holding company affiliate, as defined In the Banking Act... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 páginas
...the advisability of Investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, Issues or promulgates analyses or reports concerning securities; but does not Include (A) a bank, or any holding company affiliate, as defined In the Banking Act of... | |
 | 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...promulgates analyses or reports concerning securities. Mr. BOREN. Then there is a distinct separation of investment advisers under the two different sections... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...to the advisability of investing in, Phasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities; but does ВД include (A) a bank: (B) any lawyer, accountant, engineer, or teacher whose .wrforiiiance... | |
 | United States - 1953 - 1692 páginas
...the advisability of investing in, purchasing, or selling securities, or who, for compensation and as mber, mineral deposits, but does not include (A) a bank, or any holding company affiliate, as defined in section 221a (c) of... | |
 | United States - 1994 - 1380 páginas
...leverage transaction authorized under section 23 of this title; or (ii) for compensation or profit, and as part of a regular business, issues or promulgates analyses or reports concerning any of the activities referred to in clause (i). (B) Exclusions Subject to subparagraph (C), the term... | |
 | United States - 1975 - 1706 páginas
...delivery on or subject to the rules of any contract market, or who for compensation or profit, and as part of a regular business, issues or promulgates analyses or reports concerning commodities ; but does not include (i) any bank or trust company, (ii) any newspaper reporter, newspaper... | |
 | United States. Securities and Exchange Commission - 1944 - 1290 páginas
...the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business. Issues or promulgates analyses or reports concerning securities; but does not Include (A) a bank, or any holding company affiliate, as denned in the Banking Act of... | |
| |
