A “legal entity identifier” assigned by a utility endorsed by the Global LEI Regulatory Oversight Committee (ROC) or accredited by…
Engaging in any act or omission, aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in…
Activities that pertain to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being…
Any of your firm’s supervised persons (except those that provide only impersonal investment advice) is an investment adviser representative, if…
Any derivative whose underlying asset is the obligation to pay or the right to receive a given amount of money…
A public accountant that meets the standards of independence described in rule 2-01(b) and (c) of Regulation S-X (17 CFR…
Investment advisory services that do not purport to meet the objectives or needs of specific individuals or accounts. [Used in:…
If your firm is registered with a state securities authority, your firm’s “home state” is the state where it maintains…
An individual who is a qualified client or who is a “qualified purchaser” as defined in section 2(a)(51)(A) of the…
The gross nominal or notional value of all transactions that have been entered into but not yet settled as of…