Examples of Federal covered investment adviser in a sentence
Federal covered investment adviser" means a person registered under the federal Investment Advisers Act of 1940.[PL 2005, c.
Clearing corporation 7 2.24 State 7 2.25 Federal ERISA Act 7 2.26 Mineral investment contract 7 2.27 Mineral deferred delivery contract 8 2.28 Securities exchange 8 2.29 Covered security 9 2.30 Federal covered investment adviser 9 2.31 Limited Canadian salesperson 9 2.32 Limited Canadian dealer 9 2.33 Viatical investment 9 2a.
Federal covered investment adviser" means a person registered under the federal Investment Advisers Act of 1940.[ 2005, c.
DFI−Sec 5.11 Federal covered investment adviser notice filing procedure.
The term does not include:43 (i) An insurance company or other organization primarily engaged in the business of44 insurance;45 (ii) A Morris Plan bank; or46 (iii) An industrial loan company that is not an insured depository institution as47 defined in Section 3(c)(2) of the Federal Deposit Insurance Act (12 U.S.C. Section48 1813(c)(2)) or any successor federal statute.49 (6) "Federal covered investment adviser" means a person registered under the Investment50 Advisers Act of 1940.