entity · derived
Investment adviser definition
Derived node: assembled mechanically from the claims carrying investment-adviser-definition. A roster, not an adjudicated definition.
Every claim under this term
- 2337268-004 : Investment adviser status under the IAA requires that the advice concern a security; without a security in the dealings between adviser and client the statutory definition does not apply.
- 2337268-005 : Providing investment advice without compensation makes a person less likely to fall within the IAA definition of investment adviser, but the SEC construes compensation for advisory services broadly, w
- 2337268-006 : The frequency of advice helps determine adviser status: advice rendered occasionally, rarely, and in a non-periodic fashion makes classification as an investment adviser less likely.