Selected Investment Advisors. An investment advisor under the Investment Advisers Act of 1940, as amended, and presently registered or licensed as an investment advisor by the appropriate regulatory agency of each state in which the advisor has clients, or exempt from each state's registration requirements. The advisor is not a registered broker-dealer or registered representative with the NASD. The advisor is in compliance with all applicable federal and state securities laws. The advisor maintains the records, required by Section 204 of the Investment Advisers Act of 1940, as amended, and rule 204-2 thereunder, in the form and for the periods required thereby.
Appears in 11 contracts
Samples: Advisory Agreement (Corporate Property Associates International Inc), Advisory Agreement (Corporate Property Associates 15 Inc), Advisory Agreement (Corporate Property Associates 15 Inc)
