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…
Any state or political subdivision of a state, including (i) any agency, authority, or instrumentality of the state or political…
This term includes adverse final actions, including consent decrees in which the respondent has neither admitted nor denied the findings,…