 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...  Report - Página 359por United States. Securities and Exchange Commission. Special Study of Securities Markets - 1963Vista completa - Acerca de este libro
 | 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...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,... | |
 | 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...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,... | |
 | 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...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,... | |
 | 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...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,... | |
 | United States - 1953 - 1692 páginas
...State, or between any State and any place or ship outside thereof. (11) "Investment adviser" means the main as to the value of securities or as to the advisability of investing in, purchasing, or selling securities,... | |
 | United States - 1975 - 1706 páginas
...title. The term "commodity trading advisor" shall mean any person who. for compensation or profit, earch, and development programs. Small farm extension and research and development programs shal as to the value of commodities or as to the advisability of trading in any commodity for future delivery... | |
 | 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 or through publications or writings as to the value of securities or as to the advisability of investing in, buying, or selling securities,... | |
 | United States - 1994 - 1380 páginas
...paragraph, the term "commodity trading advisor" means any person who — (i) for compensation or profit, " m writings. Page 405 or electronic media, as to the value of or the advisability of trading in— (I)... | |
 | 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 or through publications or writings as to the value of securities or as to the advisability of investing in, buying, or selling securities,... | |
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