investment adviser


investment adviser
Any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the advisability of purchasing or selling securities, or who, for compensation and as a regular business, issues analyses or reports concerning securities, excluding certain persons, such as lawyers, accountants, teachers, and engineers, who may incidentally engage in such activities. 15 USC § 80b-1.

Ballentine's law dictionary. . 1998.

Look at other dictionaries:

  • investment adviser — USA 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 or… …   Law dictionary

  • investment adviser — UK US noun [C] (also investment advisor) FINANCE ► FINANCIAL ADVISER(Cf. ↑financial adviser) …   Financial and business terms

  • investment adviser — noun someone who advises others how to invest their money • Syn: ↑investment advisor • Hypernyms: ↑adviser, ↑advisor, ↑consultant * * * noun see investment counselor …   Useful english dictionary

  • investment adviser — one who provides counsel on how and when best to invest …   English contemporary dictionary

  • investment adviser — /ɪn vestmənt ədˌvaɪzə/ noun a person who advises people on what investments to make …   Dictionary of banking and finance

  • Investment Adviser Association — The Investment Adviser Association [ [http://www.investmentadviser.org IAA Home ] ] (IAA) is a not for profit association that exclusively represents the interests of federally registered investment advisory firms. Founded in 1937, the… …   Wikipedia

  • Uniform Investment Adviser Law Exam — The Uniform Investment Adviser Law Examination also called the Series 65 exam was developed by NASAA and is administered by the NASD. This examination is designed to qualify candidates as investment adviser representatives. The Uniform Investment …   Wikipedia

  • registered investment adviser — SEC registered individual or firm that substantiates completion of education and work experience in the field, and pays an annual membership fee. Bloomberg Financial Dictionary …   Financial and business terms

  • Investment Company Act of 1940 — Investment Company Act of 1940, as amended (ICA) USA The Investment Company Act of 1940 (15 U.S.C. §§ 80a 1 − 80a 64) regulates mutual funds and other companies that engage primarily in investing, reinvesting, and trading in securities, and whose …   Law dictionary

  • Investment Company Act of 1940, as amended — (ICA) USA The Investment Company Act of 1940 (15 U.S.C. §§ 80a 1 − 80a 64) regulates mutual funds and other companies that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the… …   Law dictionary


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