A sponsor of a wrap fee program sponsors, organizes, or administers the program or selects, or provides advice to clients…
Any notes, bonds and debentures issued by a national government (including central government, other governments and central banks but excluding…
Any national securities or commodities exchange, registered securities association, or registered clearing agency. For example, the Chicago Board of Trade…
An investment adviser eligible to register with the SEC that relies on a filing adviser to file (and amend) a…
Any advisory affiliate and any person that is under common control with your firm. [Used in: Part 1A, Items 7,…
A client that satisfies the definition of qualified client in SEC rule 205-3. [Used in: General Instructions; Part 1A, Schedule…
This term includes a formal administrative or civil action initiated by a governmental agency, self-regulatory organization or foreign financial regulatory…
An issuer that would be an investment company as defined in section 3 of the Investment Company Act of 1940…
Your firm’s executive office from which your firm’s officers, partners, or managers direct, control, and coordinate the activities of your…
A natural person (an individual) or a company. A company includes any partnership, corporation, trust, limited liability company (“LLC”), limited…