Securities Professional definition
Securities Professional includes an individual who, if working in the United States, is:
Securities Professional means an agent, an investment adviser representative, or a person who serves in a supervisory or compliance capacity for a dealer or investment adviser.
Securities Professional means an agent, an
Examples of Securities Professional in a sentence
If you have told us in writing that you are a “Securities Professional” then you represent and warrant to us that you are a Securities Professional, until you notify us in writing to the contrary.
More Definitions of Securities Professional
Securities Professional means any person providing investment-related services in Vermont, including: broker-dealers, agents, investment advisers, investment adviser representatives, solicitors, and third-party portals.”
Securities Professional means any broker, dealer, investment advisor or Person, otherwise employed by an organization conducting professional activities involving the buying and selling of financial instruments, such as stocks, bonds, options, futures contracts or other trading vehicles. In addition, a Person shall not be considered Non-Professional if they are consultants, independent contractors, software developers or others that use Market Data for any purpose for profit other than the trading of a personal account. For greater certainty, a Non-Professional cannot be registered or qualified with:
Securities Professional means a person who: (a) acts as a broker or dealer in the purchase or sale of negotiable financial instruments for third parties or is registered or qualified in any capacity under any U.S. federal, or state, or Canadian, or provincial, securities or commodities trading law, rule, or regulation or the rules or regulations of any securities or commodities exchange, market or association; (b) falls within the definition of “investment banker” as that term is defined in the U.S. Investment Company Act of 1940; (c) is a registered Investment Advisor, (d) or engages in the buying or selling of negotiable financial instruments for a third party’s account (as opposed to for his or her own personal account).
Securities Professional is defined to include an individual who, if working in the United States, is: