Any derivative that is not a commodity derivative, credit derivative, equity derivative, foreign exchange derivative or interest rate derivative. [Used…
A written directive issued pursuant to statutory authority and procedures, including an order of denial, exemption, suspension, or revocation. Unless…
SEC-registered advisers may have to provide state securities authorities with copies of documents that are filed with the SEC. These…
(a) an individual who resides in any place not subject to the jurisdiction of the United States; (b) a corporation…
For jurisdictions that do not differentiate between a felony and a misdemeanor, a misdemeanor is an offense punishable by a…
A violation of a self-regulatory organization rule that has been designated as “minor” pursuant to a plan approved by the…
A managing agent of an investment adviser is any person, including a trustee, who directs or manages (or who participates…
Anyone with the power to exercise, directly or indirectly, a controlling influence over your firm’s management or policies, or to…
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…