Federal covered adviser definition

Federal covered adviser means a person who:
Federal covered adviser means a person who is:
Federal covered adviser means a person who is registered under section 203 of the Investment Advisers Act of 1940.

Examples of Federal covered adviser in a sentence

  • Federal covered adviser to employ, supervise, or associate with an investment adviser representative having a place of business located in this state, unless such investment adviser representative is registered pursuant to sections 409.101 to 409.419, or is exempt from registration.

  • Even if we set this aside, and consider only the costs of carrying traffic from an exchange point, there remains the issue of distance.

  • Federal covered adviser to employ, supervise, or associate with an investment adviser representative having a place of business located in this state, unless such investment adviserrepresentative is registered pursuant to sections 409.101 to 409.419, or is exempt from registration.


More Definitions of Federal covered adviser

Federal covered adviser means a person who is registered under section 203 of
Federal covered adviser means any person regis- tered as an investment adviser under section 203 of the investment advisers act of 1940.
Federal covered adviser means a person who is (1) registered pursuant to section 203 of the Investment Advisers Act of 1940; or (2) is excluded from the definition of "investment adviser" pursuant to section 202(a)(11) of the Investment Advisers Act of 1940;
Federal covered adviser means an investment adviser registered under the Investment Advisers Act of 1940.
Federal covered adviser means a person who is: (1) Registered under section 203 of the Investment Advisers Act of 1940 or (2) is excluded from the definition of "investment advisor" under section two hundred two-a (11) of the Investment Advisers Act of 1940.
Federal covered adviser means a person who is regis- tered under section 203 of the Investment Advisers Act of 1940.
Federal covered adviser means a person that is