entity · derived
Safe harbor
Derived node: assembled mechanically from the claims carrying safe-harbor. A roster, not an adjudicated definition.
Every claim under this term
- 2150377-003 : The client counting safe harbor, which let an adviser count a pooled entity rather than each investor as a single client, allowed advisers to manage large amounts of securities indirectly for several
- 2714974-003 : The SEC's 1985 safe harbor in Rule 203(b)(3) allowed a limited partnership itself, rather than each of its limited partners, to be counted as a single client of the general partner acting as adviser,
- 2714974-004 : Expanding the client counting safe harbor in 1997 to cover legal entities generally allowed investment advisers to manage large amounts of securities indirectly for several hundred investors across mu
- 2998097-001 : The Investment Advisers Act safe harbor let an adviser count an entire legal organization as one client, provided the advice followed the organization's objectives rather than those of its individual
- 3808873-023 : Government controlled regulation of the evolving digital asset space was perhaps the leading decentralization neutralizer of the early 2020s, as regulators sought to fit decentralized solutions into e